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49 Resources for

finance and rule

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Did you mean finance company (15 results), Government Finance Officers Association (8 results), Commercial Finance Association (8 results), finance director (1 results)

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Coping With Stiffer Lending Rules: Federal monetary regulators published final rules for "Interagency Guidance on Nontraditional Mortgage Products" and "Credit Risk Management Guidance For Home Equity Lending". The rules are designed to curtail the rise in the risky business of "Nontraditional," "Alternative," "Exotic," even "Toxic" mortgages, including interest-only, payment-option, piggy-back, stated-income (no-doc) and other types...; Tags: Rule, Mortgages, Financial Services, Regulations, Finance, Capital Structures, Government; White papers 2006-10-03
Who Pays When Auction Rules Are Bent?: In many negotiations, rules are soft in the sense that the seller and/or buyers may break them at some cost. When buyers have private values, the publisher show that the cost of such opportunistic behavior whether by the buyers or the seller is borne entirely by the seller in equilibrium,...; Tags: Seller, Rule, Free Trade, Recruitment & Selection, Sales Force Management, Finance, Human Resources, Workforce Management, Sales; White papers 2006-09-12
New HSR Rules Regarding the Treatment of Unincorporated Entities: On March 8, 2005, the Federal Trade Commission (the "FTC") published in the Federal Register certain changes to the rules implementing the Hart-Scott-Rodino Act (the "Act"). The revised rules come into effect on April 7, 2005. The most significant changes under the revised rules relate to the treatment of the...; Tags: Rule, FTC, Business Structures, Mergers & Acquisitions, Corporate Law, Finance, Investment, Business Operations; White papers 2005-04-06
Adoption of Amended Rule 206(4)-2 Under the Investment Advisers Act: The Securities and Exchange Commission (the "SEC") has adopted amendments to rule 206(4)-2 (as amended, the "Rule") under the Investment Advisers Act of 1940 (the "Advisers Act") thereby updating the rule to reflect modern custodial practices and to require custodians of client funds or securities to maintain such assets with...; Tags: Finance, Investment, Rule, Advisor; White papers 2003-10-29
Amendments To Rule 10b-18 Under The Securities Exchange Act Of 1934: Rule 10b-18 (the “Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), provides issuers with a “safe harbor” from liability for stock market price manipulation under Sections 9a(2) and 10b of the Exchange Act and Rule 10b-5 under the Exchange Act, solely by reason of the manner, timing,...; Tags: Finance, Investment, Government, Mergers & Acquisitions, Regulations, Rule, Amendment, Securities Exchange Act; White papers 2003-10-20

Adoption of Amended Rule 206(4)-2 Under the Investment Advisers Act: The Securities and Exchange Commission (the “SEC”) has adopted amendments to rule 206(4)-2 under the Investment Advisers Act of 1940. Thereby updating the rule to reflect modern custodial practices and to require custodians of client funds or securities to maintain such assets with broker-dealers, banks, or other qualified custodians. The...; Tags: Advisor, Finance, Investment, Rule; White papers 2003-10-15
Can Markov Switching Models Predict Excess Foreign Exchange Returns?: This paper merges the literature on high-frequency technical trading rules with the literature on Markov switching at low frequencies to develop economically useful trading rules. The Markov switching models are very successful, producing out-of-sample excess returns exceeding that of standard technical trading rules. The returns appear to be stable over...; Tags: Foreign-exchange, Currency & Foreign Exchange, Federal Reserve Bank Of St. Louis, Rule, Performance Management, Finance, Human Resources, Workforce Management; White papers 2003-10-03
Sec Adopts Rules Regarding Electronic Filing And Posting Of Forms 3, 4 And 5: The Securities and Exchange Commission SEC, under the direction of a recent Act, seeks to streamline the behavior of a companies' insiders. It has adopted rules regarding electronic filing of beneficial ownership reports by the insiders. The rules call for enhanced transparency in the insiders' actions and movements. They also...; Tags: Sec, Electronic Filing, Rule, Insider, Document Management, Enterprise Software, Software, Finance, Managerial Accounting; White papers 2003-05-23
Proposed Rules: This article explains the FEDERAL REGISTER contains notices to the public of the proposed issuance of rules and regulations. The purpose of these notices is to give interested persons an opportunity to participate in the rule making prior to the adoption of the final rules. The Office of the Comptroller...; Tags: Rule, Sarbanes-Oxley, Regulations, Government, Financial Accounting, Finance; White papers 2003-05-01
Listed Company Audit Committee Standards - Sec Issues Final Rule Implementing Sec 301 of Sarbanes -Oxley Act: On April 9, 2003, the Securities and Exchange Commission issued a final rule, as directed by Section 301 of the Sarbanes-Oxley Act of 2002, directing the national securities exchanges and national securities associations to prohibit the initial or continued listing of securities of any listed company that is not in...; Tags: Government, Regulations, Finance, Financial Accounting, Standards, Rule, SEC, Audit, Sarbanes-Oxley Compliance, Sarbanes-Oxley; White papers 2003-05-02
Listed Company Audit Committee Standards – Sec Issues Final Rule Implementing Section 301 Of The Sarbanes-Oxley Act: On April 9, 2003, the Securities and Exchange Commission SEC issued a final rule, as directed by Section 301 of the Sarbanes-Oxley Act of 2002, directing the national securities exchanges and national securities associations SROs to prohibit the initial or continued listing of securities of any listed company that...; Tags: Government, Regulatory Compliance, Finance, Regulations, Financial Accounting, Sarbanes-Oxley, Standards, Rule, SEC, Sarbanes-Oxley Act, Audit, Human Resources, Policies And Procedures; White papers 2003-05-02
Section 301-1: Background And Overview Of The New Rule And Amendments: According to a recent act, a new rule has come into force. The same prohibits the listing of any security not complying with audit committee requirements of the Act. The paper discusses the new rule and amendments in the light of the tools and processes incorporated in the Act. It...; Tags: Finance, Financial Accounting, Audit Committee, Rule, Audit; White papers 2003-04-14
Sarbanes-Oxley Section 208(a); Final Rules on Auditors Independence: This article is one in a series on issues raised by the Sarbanes-Oxley Act of 2002, SEC regulations, stock exchange and other self-regulatory organization requirements, and other corporate governance initiatives. On January 28, 2003, the Securities and Exchange Commission issued final rules pursuant to Section 208a of the Sarbanes-Oxley Act...; Tags: Regulations, Corporate Governance, Sarbanes-Oxley, Rule, SEC, Corporate Law, Regulatory Compliance, Sarbanes-Oxley Act, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations; White papers 2003-02-21
Corporate Governance Alert: SEC Adopts Final Rules Regarding Audit Committee Financial Experts: Section 407 of the Sarbanes-Oxley Act directed the SEC to issue rules that would require a company to disclose whether or not, and if not, the reasons why not, the audit committee of that company is comprised of at least one member who is a “financial expert.” On October 22,...; Tags: Audit, Government, Regulations, Corporate Governance, Sarbanes-Oxley, Financial Accounting, Rule, SEC, Financial, Finance, Business Operations, Corporate Law; White papers 2003-02-06
Disclosure Required By Sections 406 And 407 Of The Sarbanes-Oxley Act Of 2002: The article explains about the adopting rules and amendments requiring companies, other than registered investment companies, to include two new types of disclosures in their annual reports filed pursuant to the Securities Exchange Act of 1934. First, the rules require a company to disclose whether it has at least one...; Tags: Article, Sarbanes-Oxley Act, Audit, Policies And Procedures, Financial Accounting, Rule, Government, Regulations, Human Resources, Finance, Regulatory Compliance, Sarbanes-Oxley; White papers 2003-01-24
New SEC Rules Right On Time: The article is about the SEC that pushed through new rules to meet the Sarbanes-Oxley deadline; FASB added some guidance of its own in the article to support the concept. The organization that made the rules says that, it's a case of "give a little, get a little." The Securities...; Tags: Financial Accounting, Regulatory Compliance, Regulations, Government, Finance, Human Resources, Policies And Procedures, Sarbanes-Oxley, Rule, Financial Accounting Standards Board, SEC, Article; White papers 2003-01-23
SEC Adopts Rules Strengthening Auditor Independence: The Securities and Exchange Commission voted to adopt rules to fulfill the mandate of Title II of the Sarbanes-Oxley Act of 2002, strengthen auditor independence and require additional disclosures to investors about the services provided to issuers by the independent accountant. Also, Section 201 of the Sarbanes-Oxley Act lists...; Tags: Sarbanes-Oxley Act, SEC, Auditor Independence, Independence, Rule, Sarbanes-Oxley, Regulatory Compliance, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures; White papers 2003-01-22
Listed Company Audit Committee Standards - Sec Proposes Rule Implementing Section 301 Of The Sarbanes-Oxley Act: The Securities and Exchange Commission SEC proposed a new rule, directing the national securities exchanges and national securities regulatory associations SROs to prohibit the initial or continued listing of securities of any issuer that is not in compliance with the audit committee requirements established by the Act and the proposed...; Tags: Finance, National Security, Standards, Rule, Sarbanes-Oxley Act, Audit, Financial Accounting; White papers 2003-01-22
Taxation and the Taylor Principle: This paper discusses the Taylor rule, Taylor principal and equilibrium determinacy. When depreciation is treated as a charge against taxable income, an even larger weight on inflation is required in the Taylor rule in order to obtain a determinate and stable equilibrium. These results have obvious implications for assessing the...; Tags: Operational Accounting, Finance, Rule, Federal Reserve Board, Currency & Foreign Exchange; White papers 2003-01-11
SEC Adopts New Rules On Several Sarbanes Oxley Provisions: This article explains the 3 rules and amendments which The Securities and Exchange Commission has voted to adopt the following concerning provisions of the Sarbanes-Oxley Act of 2002. The rules are conditions for use of Non-GAAP financial information under section 401b and amendments to form 8-K under section 409, disclosure...; Tags: Pension Fund, Sarbanes-Oxley Act, SEC, Rule, Sarbanes-Oxley, Regulatory Compliance, Benefits, GAAP, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures; White papers 2003-01-16