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- a company that pools for investment the money of several investors.
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- SEC Adopts Final Rule Implementing Sarbanes-Oxley Prohibition Regarding Improper Influence on Conduct of Audits.
- The SEC adopted amendments (the "Amendments") to Rule 13b2-2 under the Securities Exchange Act of 1934 (the "Exchange Act") to prohibit any officer or director of an issuer, and any person acting under their direction, from taking any action to improperly The SEC adopted amendments...
- Research articles 2003-05-28
- How The New Rules Affect Investment Companies And Investment Advisers
- The Sarbanes-Oxley Act of 2002 significantly has changed the regulatory environment for public companies. At open meetings held on January 22 and 23, 2003, the SEC approved new rules and rule amendments implementing some important provisions of the Sarbanes-Oxley Act. Kramer Levin attorneys summarize recent developments as they relate to...
- White papers 2003-01-01
- SEC Implements Internal Control Provisions Of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor
- The Securities and Exchange Commission's has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also consider to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-01-22
- What The Sarbanes-Oxley Act Means For Registered Investment Companies
- From the executive summary: ‘Many provisions of the Sarbanes-Oxley Act affect the operations of registered investment companies. The Act also imposes additional responsibilities upon investment company officers and directors. However, the provisions of the Act will be determined by interpretation of the courts and regulators. Key provisions of the Act...
- White papers 2002-11-01
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