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- Pension Blackout Periods – Final SEC Rules
- This article summarizes the final regulations that were issued by the SEC under Section 306a of the Sarbanes-Oxley Act (the "Act") with respect to blackout periods under individual account retirement plans. Section 306a of the Act and Regulation BTR generally prohibit insiders from trading, directly or indirectly, in company equity...
- White papers 2003-02-01
- Pension Blackout Periods: SEC and DOL Propose Rules
- This memorandum summarizes rules recently issued to implement Sections 306a and 306b of the Sarbanes-Oxley Act of 2002 (the "Act") with respect to blackout periods under individual account retirement plans. Section 306a of the Act prohibits insiders from trading in their company's equity securities acquired in connection with service as...
- White papers 2003-01-07
- SEC Issues Rules Prohibiting Insider Trading During Pension Blackout Periods
- The Securities Exchange Commission has adopted final rules under Section 306a of the Sarbanes-Oxley Act, which prohibit insider trading during pension plan blackout periods. Section 306a of the Sarbanes-Oxley Act prohibits directors and executive officers of public companies from directly or indirectly purchasing, selling or otherwise acquiring or transferring any...
- White papers 2003-01-01
- Regulations On Blackout Periods Issued Under Sarbanes-Oxley Act Of 2002
- The article explains how several provisions of the Sarbanes-Oxley Act of 2002 ("SOA") affect the administration of employee benefit plans or relate to events in connection with such plans. It also states that Legal Update will highlight certain final regulations issued by the Department of Labor ("DOL") and the Securities...
- White papers 2003-02-10
- SEC Proposes Pension Fund Blackout Rules
- The Sarbanes-Oxley Act of 2002 the Act contains provisions requiring that participants and beneficiaries collectively referred to as participants in certain retirement plans be given 30 days' notice before a blackout period and that executive officers and directors be prohibited from buying or selling company stock during the blackout period....
- White papers 2002-11-19
- SEC Issues Final Rules Implementing Section 306(A) Of The Sarbanes-Oxley Act Of 2002: Insider Trades During Pension Fund Blackout Periods
- From the executive summary: ‘The Securities and Exchange Commission SEC adopted final rules by implementing Section 306a of the Sarbanes-Oxley Act. The Section prohibits directors and executive officers of an issuer from trading in the issuer's equity securities acquired in connection with the services during a pension plan "blackout period."...
- White papers 2003-02-03
Additional Resources
- Ahead of the pack: Participants may sell company stock during `blackout' period; ChevronTexaco gives employees right to move intomoney markets as DC plan switches record keepers.(Brief Article)
- SAN FRANCISCO - ChevronTexaco Corp. is giving plan participants the option to shift assets from company stock to money market funds during the ``blackout'' period in which 401k records are switched over to the company's new record keeper, Vanguard SAN FRANCISCO - ChevronTexaco Corp. is...
- Research articles 2002-04-01
- Office Depot, Inc. Announces Trading Plan to Facilitate Share Repurchases During Quarterly Trading Blackout Period
- DELRAY BEACH, Fla. -- Office Depot, Inc. (NYSE:ODP), a leading global provider of office products and services, today announced that it has entered into a 10b5-1 trading plan with a brokerage firm to facilitate the repurchase of its shares. Currently, $200 million remains authorized for repurchase under the existing Board...
- Research articles 2007-03-01
- SEC Issues Rules on Sarbanes-Oxley Prohibition of Insider Trades During Employee Plan Blackout Periods
- This article provides only a general overview of the SEC rules. Section 306a of the Sarbanes-Oxley Act of 2002 (the "Act") prohibits any director or executive officer of an issuer during a employee plan blackout period from, directly or indirectly, purchasing, selling or otherwise acquiring or transferring any equity security...
- White papers 2003-01-26
- SEC Proposes Rules on Insider Trading Prohibitions During Plan Blackout Periods
- Overview. Section 306 of the Sarbanes-Oxley Act of 2002 prohibits directors and executive officers of an issuer from purchasing or selling, during a pension plan blackout period, any equity security of the issuer if the security was acquired in conn Overview. Section 306 of the...
- Research articles 2002-11-21
- ChevronTexaco OKs stock sales during 'blackout'.(Brief Article)
- SAN FRANCISCO-ChevronTexaco Corp. is giving its 401k plan participants the option to shift assets from company stock to money market funds during the ``blackout'' period in which 401k records are switched over to the company's new record keeper. SAN FRANCISCO-ChevronTexaco Corp. is giving its 401k...
- Research articles 2002-04-08
- SEC Proposal On Insider Trading Restrictions During Blackout Periods For Retirement Plans
- This article explains about the proposed rules banning most insider trades during retirement plan blackout periods under Section 306a of the Sarbanes-Oxley Act released by SEC. It also explains the features such as: Covered Persons and Transactions, Covered Securities, Covered Plans, Blackout Period Defined, Disclosure of Blackout Periods, Sanctions for...
- White papers 2002-11-14
- Sarbanes-Oxley Section 306(A): Final Rules On Insider Trades During Pension Fund Blackout Periods
- In a release dated January 22, 2003, the Securities and Exchange Commission issued final rules implementing Section 306a of the Sarbanes-Oxley Act of 2002 (the "Act"). Section 306a of the Act, entitled "Prohibition of Insider Trading During Pension Fund Blackout Periods," expressly prohibits any director or executive officer of an...
- White papers 2003-04-09
- DOL Issues Interim Final Rules Relating to Notice of 401(k) "Blackout Periods" Under Sarbanes Oxley
- Article by Joshua Sternoff and Nicole Watson On October 21, 2002, the Department of Labor ("DOL") published interim final rules (the "Rules") to assist 401k and other individual account plan administrators with the "blackout period" limitations established by the Sarbanes-Oxley Act of 2002 ("Sarbanes-Oxley" or the "Act"). ...
- Research articles 2002-11-04
- Filing Guidance Related To: Conditions For Use Of Non-Gaap Financial Measures; And Insider Traders During Pension Fund Blackout Periods
- The Securities and Exchange Commission is issuing interim guidance regarding the filing of information pursuant to new Items 11 and 12 of Form 8-K. Item 11 requires a registrant to provide public notice of a pension fund blackout period. Item 12 requires a registrant to furnish specified disclosure when the...
- White papers 2003-01-30
- CNA Trust Has Busy Easter Weekend Providing "No-Blackout" Transfer Of More Than 750 Retirement Plans
- CNA Trust announced today that it successfully transferred more than 750 retirement plans onto its platform over Easter weekend without plan participants being out of the market for a single day.[Editor's note: Please be aware that, due to confidentiality issues, we cannot divulge the name of the major financial organization...
- Research articles 1970-01-01
- United America Indemnity Ltd. Q1 2008 Earnings Call Transcript
- Question-and-Answer SessionOperator Operator Instructions Our first question comes from the line of Jay Cohen with Merrill Lynch. Please go ahead. Jay Cohen - Merrill Lynch Yes, good morning. Just a couple of questions. I noticed in the quarter, it looked like the pace of the buybacks slowed from the...
- Earnings calls 2008-04-29
- Blackout Blackout: Mellon Revises Company 401(k): Reacting to Enron Outcry, Financial Services Giant Lifts Curbs on Investing Matching Shares, Eliminates Blackout Period
- With the public outrage expressed by Enron employees about how the company reined in their ability to diversify their 401k portfolios, workers at other companies were bound to start asking employers tough questions about their own plans. Indeed, at least one company, Mellon Financial Corporation, has already reacted to workers'...
- White papers 2002-03-07
- Timeout trouble.(The collapse of Enron Corp. could forever lead to changes in how record keepers and other 401(k) providers are replaced)(Brief Article)
- The collapse of Enron Corp. could forever lead to changes in how record keepers and other 401k providers are replaced, specifically involving the blackout period when participants aren't allowed to trade during such transitions. As a story on Page The collapse of Enron Corp. could...
- Research articles 2001-12-10
- Schering-Plough's Hassan Made Stock Gains as Price Tumbled and Layoffs Grew
- Schering-Plough's Hassan Made Stock Gains as Price Tumbled and Layoffs GrewRE: Schering-Plough's Hassan Made Stock Gains as Price Tumbled and Layoffs GrewThis is to correct certain misstatements in your 9/19/08 article in "BNET Industries" involving Schering-Plough CEO Fred Hassan. • Contrary to statements such as “Hassan has still managed to...
- Discussion threads 2008-09-22
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