8-K 1 maxcor_8k.txt FORM 8-K 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 ---------------- March 31, 2003 --------------------------- Date of Report (Date of Earliest Event Reported) MAXCOR FINANCIAL GROUP INC. --------------------------- (Exact Name of Registrant as Specified in Charter) Delaware 0-25056 59-3262958 ---------------------------- ---------------- ------------------ (State or Other Jurisdiction (Commission File (I.R.S. Employer of Incorporation) Number) Identification No.) One Seaport Plaza New York, New York --------------------------- (Address of Principal Executive Offices) 10038 ---------------- (Zip Code) (646) 346-7000 --------------------------- (Registrant's Telephone Number, Including Area Code) One New York Plaza, New York, NY 10292 ---------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) The Exhibit Index is on Page 4 Page 1 of 5 Pages ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS (c) Exhibits. 99.1 Certification of the Chief Executive Officer and Chief Financial Officer of the Registrant, pursuant to 18 U.S.C. Section 1350 ITEM 9. REGULATION FD DISCLOSURE On March 31, 2003, Maxcor Financial Group Inc. (the "Registrant") filed with the Securities and Exchange Commission its Annual Report on Form 10-K for the year ended December 31, 2002 (the "Form 10-K). Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350), the Form 10-K was accompanied by, as additional correspondence, a certification of the Registrant's Chief Executive Officer, Gilbert D. Scharf, and its Chief Financial Officer, Steven R. Vigliotti. A copy of the certification is furnished herewith and attached hereto as Exhibit 99.1. Page 2 of 5 Pages SIGNATURE 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. MAXCOR FINANCIAL GROUP INC. By: /s/ ROGER E. SCHWED ------------------------------------- Name: Roger E. Schwed Title: Executive Vice President and General Counsel Date: March 31, 2003 Page 3 of 5 Pages EXHIBIT INDEX Exhibit No. Description Page No. ----------- ----------- -------- 99.1 Certification of the Chief Executive Officer 5 and Chief Financial Officer of the Registrant, pursuant to 18 U.S.C. Section 1350. Page 4 of 5 Pages