UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) November 15, 2006
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Investors Capital Holdings, Ltd.
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(Exact name of registrant as specified in its charter)
Massachusetts 1-16349 04-3284631
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(State or other jurisdiction (Commission (I.R.S. Employer
of incorporation) File Number) Identification No.)
230 Broadway East, Lynnfield, Massachusetts 01940
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code (800) 949-1422
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(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (see General Instruction A.2. below):
[ ] Written communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
Item 2.02. Results of Operations and Financial Condition
On November 15, 2006, Investors Capital Holdings, Ltd. issued a press release
announcing its financial results for the Company's second fiscal quarter ended
September 30, 2006. A copy of the press release is furnished as Exhibit 99.1 to
this report.
In accordance with General Instruction B.2 of Form 8-K, the information in this
Current Report on Form 8-K, including exhibit 99.1, shall not be deemed to be
"filed" for the purposes of Section 18 of the Securities Exchange Act of 1934,
as amended (the "Exchange Act"), or otherwise subject to the liability of that
section, and shall not be incorporated by reference for any registration
statement or other document filed under the Securities Act of 1933, as amended,
or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing
Item 9.0.1 Financial Statements and Exhibits
(d) The following items are filed as exhibits to this report:
99.1 Press release, dated November 15, 2006 issued by Investors Capital
Holdings, Ltd.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Investors Capital Holdings, Ltd.
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(Registrant)
Date November 15, 2006 /s/ Timothy B. Murphy
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Timothy B. Murphy
Chief Financial Officer, Chief
Accounting Officer, Treasurer,
Executive Vice President, and
Director
Exhibit No. Description
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99.1 Press release dated November 15, 2006