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Topic: Securities Exchange Commission

Ads by Google      Sarbanes-Oxley Act of 2002 - Public Company Accounting Reform and Investor Protection Act Management, BOD and audit committee issues relating to accounting oversight compliance requirements. SEC will begin requiring additional disclosures to implement Sarbanes-Oxley (11/15/2004) PCAOB-Online™ provides a complete cross-referenced index of SEC filers, firms, offices, CPAs, services/fees and compliance disclosures. http://www.sarbanes-oxley.com/      SECURITIES LITIGATION WATCH The Ahold settlement is emblematic of the SEC’s new agenda. Senators approve members of the SEC's governing body, as well as the agency's budget." The SEC lacked such information in the senators' case." http://slw.issproxy.com/      Nigeria's Securities and Exchange Commission (SEC) Developing the Securities Market: the role of financial intermediaries, the government and Nigerian Enterprises – 1982. The consent of the Federal minister of Finance. Workshop on public offering of securities – 1995. http://www.nigeriabusinessinfo.com/sec.htm      Securities and Exchange Commission -> Responsibilities on Encyclopedia.com 2002 However, an approval of the statement is not a finding by the SEC that the securities have investment value, or even a guarantee that the disclosures are accurate. Officers, directors, and principal stockholders of corporations whose securities are registered must report all their transactions in equity securities of their companies. The Board of Governors of the Federal Reserve System is responsible for regulating by means of margin requirements the use of bank credit to finance trading in securities. http://www.encyclopedia.com/html/section/securiti_responsibilities.asp      Securities and Exchange Commission --  Encyclopædia Britannica Certified public, or chartered, accountants are licensed by the state to provide accounting... Focuses on regulation of the securities market and the corporate world. Provides complete filings and summary reports of documents of public companies and includes, mutual fund prospectuses, insider trading tracker, stock quotes and IPO market details of new companies. http://www.britannica.com/eb/article?eu=68251&tocid=0      What Is IARD? Annual Updating Amendments for IA Firms Registered with the SEC Fund Your Account Prior to Submitting Your Annual Updating Amendment: An SEC registrant is assessed an IARD Annual Fee (system processing fee) at the time its Annual Updating Amendment is filed. Your firm must have sufficient funds in its Daily Account with NASD to cover the total amount of the IARD Annual Fee assessed to the firm. http://www.iard.com/      LII: Law about...Securities Trading transactions are the purchasing and selling of outstanding securities among investors. There are two principle settings for buying and selling securities: issuer transactions and trading transactions. Certain types of notes, such as a note secured by a home mortgage or a note secured by accounts receivable or other business assets are not securities. http://www.law.cornell.edu/topics/securities.html      Corporatelaws - Securities and Exchange Commission of Pakistan Act, 1997 Power to obtain finance, borrow money and receive grants. (i) the securities industry [and insurance industry] [17] ; (a) to maintain facilities and improve the performance of companies and of securities markets, in the interest of commercial certainty, reducing business costs, and efficiency and development of the economy; http://www.secp.gov.pk/corporatelaws/dec_26_98.htm      [No title] Underwriter to purchase its pro rata share (based on the principal amount of Securities which such Underwriter agreed to purchase hereunder) of the Securities of such defaulting Underwriter or Underwriters for which such arrangements have not been made; but nothing herein shall relieve a defaulting Underwriter from liability for its default. (n) The Company is not and, after giving effect to the offering and sale of the Securities, will not be an "investment company" or an entity "controlled" by an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended (the "Investment Company Act"); (p) PricewaterhouseCoopers LLP, who have certified certain financial statements of the Company and its subsidiaries, are independent public accountants as required by the Act and the rules and regulations of the Commission thereunder. http://www.fsa.com/financial/8K_112502.html      Securities Law -Rules Regulations Arbitration Litigation NASD NYSE SEC RS Investment Management to Pay $25 Million and Undertake Compliance Reforms to Settle SEC Market Timing Charges SEC, NASD Investigating Broker Gifts to Fund Execs NASD Mutual Fund Task Force Submits Recommendations on Soft Dollars, Portfolio Transaction Costs To SEC http://www.seclaw.com/centers/lawcent.shtml      Table of Contents Section 17A -- National System for Clearance and Settlement of Securities Transactions Section 15C -- Government Securities Brokers and Dealers Section 15D -- Securities Analysts And Research Reports http://www.law.uc.edu/CCL/34Act      Securities Law in the Legal Research Guide Specifically, it covers arbitration, brokers, investors, corporate finance, and securities law and compliance. The Web site of The Bond Market Association offers historical trading data for municipal bonds, as well as daily corporate bond transactions and composite treasury reports. The Securities and Exchange Commission (SEC) offers a calculator for estimating and comparing the costs of owning mutual funds. http://www.virtualchase.com/resources/securities.shtml      CEI.ORG: Competitive Enterprise Institute: CEI Files Comments With The Securities And Exchange Commission On Its ... CEI.ORG: Competitive Enterprise Institute: CEI Files Comments With The Securities And Exchange Commission On Its Proposed Rulemaking On Proxy Vote Disclosures By Management Investment Companies CEI Files Comments With The Securities And Exchange Commission On Its Proposed Rulemaking On Proxy Vote Disclosures By Management Investment Companies The proposed rule applies to all management investment companies that have authority to vote their client's securities. http://www.cei.org/gencon/027,03343.cfm      SECURITIES AND EXCHANGE COMMISSION Ensures legality, honor and transparency of the securities market; Approves the rules of the securities market related to listing of securities and disclosure and periodical financial statements obligations of listed companies; The Department of Qualified Personnel is comprised of four sectors: Sector for General and Legal Issues, Sector for Issuing Licenses, Sector for Capital Market's Control and Sector for Capital Market's Research, Analysis and International Cooperation. http://sec.gov.mk/e/history.htm      RR Donnelley's RealCorporateLawyer.com SEC Suspends Trading in Securities of 26 Delinquent Companies (Dec. 1, 2004). Summary of Securities Offering Reform Proposal from Kirkland Ellis LLP. SEC Posts Frequently Asked Questions Regarding Forms 8-k Disclosure Requirements from Nixon Peabody LLP. http://www.realcorporatelawyer.com/      Reader's Companion to American History - -SECURITIES AND EXCHANGE COMMISSION The Securities Exchange Act of 1934 created the sec to regulate exchanges, brokers, and over-the-counter markets, as well as to monitor the required financial disclosures. The Securities Act of 1933 required public corporations to register their stock sales and distribution and make regular financial disclosures. Further, the act authorized the sec to break up any unnecessarily large utility combinations into smaller, geographically based companies and to set up federal commissions to regulate utility rates and financial practices. http://college.hmco.com/history/readerscomp/rcah/html/ah_077800_securitiesan.htm      Securities Index Page BISHCA I Banking I Insurance I Securities I Health Care Administration How April 2003 Global Securities Settlement Benefits Vermont Investors If so, please be sure to read about the newly required use of the IA Registration Depository (IARD) using links below: http://www.bishca.state.vt.us/SecuritiesDiv/securindex.htm      LII: Law about...Corporations Federal securities law also governs requirements of fiduciary conduct such as requiring corporations to make full disclosures to shareholders and investors. States also have registration laws requiring corporations that incorporate in other states to request permission to do in-state business. There has also been a significant component of Federal corporations law since Congress passed the Securities Act of 1933, which regulates how corporate securities are issued and sold. http://www.law.cornell.edu/topics/corporations.html      Meyers & Heim LLP: Securities and Corporate Attorneys Such individuals could be associated with the company's law firm, accounting firm or investment banking firm. Generally, this element is not in dispute because the monthly account statements and trade confirmations will establish whether or not a security was purchased or sold. However, the SEC relies heavily on the securities industry's self-regulatory efforts. http://www.meyersandheim.com/insider_trading.html      Connecticut Department of Banking, Securities and Business Investments Division Connecticut Department of Banking, Securities and Business Investments Division The Securities Registration section reviews and processes applications for securities, business opportunity and tender offer registration. The SEC site includes the EDGAR Database of Corporate Information. http://www.state.ct.us/dob/pages/secdiv.htm      US CODE: Title 15,CHAPTER 2B–1—SECURITIES INVESTOR PROTECTION National system for clearance and settlement of securities transactions Restrictions on borrowing and lending by members, brokers, and dealers National market system for securities; securities information processors http://www4.law.cornell.edu/uscode/15/ch2B.html      SEC Filing - The SCO Group This also might make it more difficult for us to sell equity securities in the future at a time and at a price that we deem appropriate. Future changes in accounting standards, particularly those affecting revenue recognition, could require us to change our accounting policies regarding how we record revenue on our software arrangements. These changes could cause deferment of revenue recognized in current periods to subsequent periods or accelerate recognition of deferred revenue to current periods, each of which could cause shortfalls in meeting securities analysts and investors' expectations. http://ir.sco.com/EdgarDetail.cfm?CompanyID=CALD&CIK=1102542&FID=1047469-03-3091&SID=03-00      Alternative High Yield Bonds - MTRDirect.com High yield corporate bond, convertible and emerging market debt securities and a leading provider of fixed income research and trade execution services bond market fixed income junk fixed income trading research emerging market debt convertible high yield corporate electronic trading institutional investors association nasdaq fips securities and exchange commission investments debt on-line http://www.mtrdirect.com/      LSU Libraries--Business Resources Access financial reports filed with the SEC from 1993 to the present. This easy-to-use interface to the SEC filings allows the user to search for summary financial reports, navigate the SEC filings, and review in-depth financial analysis. Under "InfoQuotes" for each company, access information such as fundamentals, charts, news, stock reports (from Disclosure http://www.lib.lsu.edu/bus/finance.html      Gustafson v. Alloyd Co., 513 U.S. 561 (1995). The House Report stated: "[t]he bill affects only new offerings of securities. Instead, the liability imposed by §12(2) turns on misstatements contained in the prospectus. The question before us is the coverage of §12(2), and the writings offered by the SEC are of little value on this point. http://supct.law.cornell.edu/supct/html/93-404.ZO.html      Securities and Exchange Commission Documents July 7, 1991 SEC Office of Economic Analysis Report Ultimately, the SEC required the company to correct its financial reports, but concluded there was insufficient evidence to pursue an insider trading case against Bush. Written by Lisa Meulbroek for Janick, Mendelson, Adelman, and Paul Gerlach, the report analyzes the effect of Harken's Aug. 20, 1990 disclosure of its $23.2 million loss and the subsequent effect on the company's share price. http://www.publicintegrity.org/dtaweb/report.asp?ReportID=225&L1=10&L2=10&L3=0&L4=0&L5=0      Securities & Exchange Commission - SEC The statutes administered by the SEC are designed to promote full public disclosure and protect the investing public against fraudulent and manipulative practices in the securities markets. One example of an activity that falls within the SEC's domain: if someone purchases more than 5% of a company's equity, they must report to the SEC within 10 days of the purchase because of the takeover threats it may cause. A government commission created by Congress to regulate the securities markets and protect investors. http://www.investopedia.com/terms/s/sec.asp      Securities and Exchange Commission (washingtonpost.com) The SEC is the federal government's policing agency for the nation's financial markets. Some Post reporters find 10kwizard easier to search for companies' SEC filings, insider trading reports, etc. The SEC pursues 400-500 civil enforcement actions a year for violations of securities law, such as insider trading, accounting fraud and giving false or misleading information about companies or their securities. http://www.washingtonpost.com/wp-srv/business/includes/sec_primer.htm      Securities and Exchange Commission - Glossary - Encyclopedia - Library - VC Experts The SEC is an independent, nonpartisan, quasi-judicial regulatory agency that is responsible for administering the federal securities laws. Additionally, the SEC regulates firms that trade securities, people who provide investment advice, and investment companies. These laws protect investors in securities markets and ensure that investors have access to all material information concerning publicly traded securities. http://vcexperts.com/vce/library/encyclopedia/glossary_view.asp?glossary_id=108      SEC Securities and Exchange Commission sec SEC securities and exchange commission sec SEC SEC securities and exchange commission SEC Securities and Exchange Commission SEC SEC Definition: The Securities and Exchange Commission (normally called the SEC for short), is the chief regulating body in the securities industry. http://beginnersinvest.about.com/library/glossary/bldef-securitiesandexchangecommission.htm      Securities and Exchange Commission and established the SEC in 1934 to enforce securities laws, to stabilize the markets, and to protect investors. The SEC also oversees stock exchanges, broker-dealers, mutual funds, investment advisors, and public utility holding companies. How the Sec Protects Investors and Maintains Market Integrity http://www.sd54.k12.il.us/schools/keller/newdeal/sec.htm      Office of the Kansas Securities Commissioner Annual Audited Financial Statements-- Annual audited financial statements of broker-dealers are to be filed only upon request by the Kansas Securities Commissioner, and then within 5 days of the request. If you plan to offer securities in one or more of the participating states and believe that you will qualify for an exemption from registration with the Make sure that the salesperson is licensed to sell securities in Kansas and that the investment has been registered for sale in Kansas. http://www.securities.state.ks.us/      TMF: Securities & Exchange Commission 11/7/02 2:37 PM Questions about SEC new director 11/7/02 3:09 PM Re: Questions about SEC new director http://boards.fool.com/Messages.asp?bid=115595&ref=istfoclnk100124      DeloitteLearning.com - The Securities and Exchange Commission Every public company shareholder, potential investor, company officer, board member and audit committee member should understand the role of the SEC and the primary duties and responsibilities of the SEC leadership and staff. This course will provide you with an overview of the SEC organization, a description of the major divisions and their duties, an overview of the primary Acts administered by the SEC and basic SEC reporting requirements. The SEC plays a critical role in corporate governance and a basic familiarity with this information will help you provide effective leadership and oversight for any publicly traded organizations that you are affiliated with. http://www.deloittelearning.com/courses/course004.asp      museum.media.org: EDGAR The wholesaler, in turn, would sell to information retailers who would add even more value. Well, the SEC had cut a contract with a data wholesaler who would add value. The Retail Information Industry, which was making several hundred million dollars per year selling SEC filings, was not amused. http://museum.media.org/edgar      Free - legal forms that corporate lawyers can download and SEC News Digest Reports - also free - lists and describes registration statements that were filed with the SEC under the Securities Act of 1933 during the previous week - lists all orders issued by the SEC to remove corporations from listing and registration, all orders instituting enforcement proceedings against individuals and/or corporations, and notices concerning applications of corporations to withdraw their securities from listing and registration on a stock exchange Free - legal forms that corporate lawyers can download and SEC News Digest Reports - also free http://www.jefren.com/      Securities and Exchange Commission Definition The Division of Corporate Finance is in charge of making sure all publicly traded companies disclose the required financial information to investors. The primary federal regulatory agency for the securities industry, whose responsibility is to promote full disclosure and to protect investors against fraudulent and manipulative practices in the securities markets. The securities and Exchange Commission is an independent, quasi-judiciary agency. http://www.investorwords.com/4439/SEC.html      Securities and Exchange Law Should Mandatory Written Opinions Be Required In All Securities Arbitrations?: The Practical and Legal Implications to the Securities Industry (Lynn Katzler) NASD Submits Amendment to earlier Hot Issue Rule Proposal to SEC (Hale and Dorr) SEC Staff Releases Interpretive Guidance for Regulation Fair Disclosure (Hale and Dorr) http://www.lexisone.com/legalresearch/legalguide/practice_areas/securities_exchange_law.htm      [No title] The Company has prepared a prospectus supplement (the "Prospectus Supplement") to the prospectus included as part of the Registration Statement setting forth the terms of the offering, sale and plan of distribution of the Shares and additional information concerning the Company and its business. The Company understands that the Underwriters propose to make a public offering of the Shares as soon as the Underwriters deem advisable after this Agreement has been executed and delivered. Also attached hereto as Exhibit 99.1 is a press release issued by the Company on October 27, 2003 regarding the pricing of the offering of its common stock pursuant to the Underwriting Agreement. http://www.1liberty.com/financial/financial102.doc      Securities Fraud and Investor Protection Resource Center Finally, this site should help you understand the securities arbitration process and which claims may be appropriate or eligible for arbitration. The National Association of Securities Dealers Dispute Resolution, Inc. (NASDADR) F ollowing are further resources that may assist you in finding pertinent rules and regulations governing securities trading practices and help you learn more about securities fraud and your rights as an investor. http://www.securitieslaw.com/      Securities and Exchange Commission The Mission of the SEC is to promote the orderly growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected through the proactive implementation of the Securities Laws. Registered and Licensed Brokers, Investment Advisors and the Ghana Stock Exchange can file their data by logging in here. This involves ongoing supervision and regulation of the Ghanaian securities market, the education of market operators, policy makers as well as investors on their respective rights and obligations. http://www.secghana.org/      Securities Commissions - CCLSR Federal Commission for the Securities Market of the Russian Federation http://cclsr.law.unimelb.edu.au/other-sites/securities.htm      Securities and Exchange Commission SEC Search The SEC Edgar Data Base for company filings Allstocks.com and our U.S. Securities and Exchange Commission, ( SEC) pages. Here we will provide links and information that may be useful to Investors and Traders of US stocks and other issues. http://www.allstocks.com/sec      Table of Contents Section 25 -- Jurisdiction of Other Government Agencies over Securities Section 18 -- Exemption from State Regulation of Securities Offerings Section 3 -- Classes of Securities under this Title http://www.law.uc.edu/CCL/33Act/index.html      Alberta Securities Commission Securities Laws and Financial Reporting Standards Conference 2004 The Alberta Securities Commission (ASC) is the industry-funded provincial corporation responsible for maintaining the efficiency and integrity of the capital markets in Alberta. We develop and enforce securities regulation, and offer http://www.albertasecurities.com/      Securities Commission Securities Commission Accepts Enforceable Undertakings by Kookmin Bank Securities Commission accepts enforceable undertaking from Momentum Magazine Group Limited The Securities Commission does not assume any responsibility for giving legal or other professional advice and disclaims any liability arising from the use of the information. http://www.sec-com.govt.nz      Encyclopedia article on Securities and Exchange Commission [EncycloZine] The Securities and Exchange Commission, commonly referred to as the SEC, is the United States governing body which has primary responsibility for overseeing the regulation of the securities industry. To ensure that the SEC remains non-partisan, no more than three Commissioners may belong to the same political party. It enforces, among other acts, the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisors Act. http://encyclozine.com/Securities_and_Exchange_Commission      Plaut v. Spendthrift Farm, Inc., 514 U.S. 211 (1995). NewHampshire Dept. of Employment Security, 455 U.S. [n.8] Security Industrial Bank, 459 U.S. Finally, we may respond to the suggestion of the concurrence that this case should be decided more narrowly. The concurrence is willing to acknowledge only that " sometimes Congress lacks the power under Article I to reopen an otherwise closed court judgment," post, at 1. http://supct.law.cornell.edu/supct/html/93-1121.ZO.html      Welcome to CSRC Website! Provisional Measures on Administration of Domestic Securities Investments of Qualified Foreign Institutional Investors(QFII) An Introduction to China's Securities and Futures Markets (2004 Edition) The London International Financial Futures and Options EXchange http://www.csrc.gov.cn/en/homepage/index_en.jsp      The Office of the Securities and Exchange Commission, Thailand Copyright @ 1996 Securities and Exchange Commission, Thailand. The Office of the Securities and Exchange Commission, Thailand The Office of the Securities and Exchange Commission http://www.sec.or.th/secen1/index.php

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