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- The Bank of New York Comments on New SEC Guidance on Soft Dollars; Preserving the safe harbor for research payments while tightening the definition of research strikes the right balance, according to Bank executives
- NEW YORK -- The Bank of New York applauded the Securities and Exchange Commission's publication today of interpretive guidance on money managers' use of client commissions to pay for brokerage and research services under Section 28e of the Securities Exchange Act of 1934. The new guidance, which will become final...
- Research articles 2005-10-20
- SEC Adopts Safe Harbor for Research and Development
- The Securities and Exchange Commission SEC recently adopted a new rule under the Investment Company Act of 1940 Act to provide a nonexclusive safe harbor from the definition of investment company for certain research and development companies (R The Securities and Exchange Commission SEC recently...
- Research articles 2003-08-05
- SEC Rule Provides Safe Harbor Under Investment Company Act for Research and Development Companies
- Article by Gordon H. Hayes, Jr., Jocelyn M. Arel, Mitchell S. Bloom, Jeffrey M. Held Article by Gordon H. Hayes, Jr., Jocelyn M. Arel, Mitchell S. Bloom, Jeffrey M. Held
- Research articles 2003-09-18
- ICI to SEC: Make soft dollar rules equal for all; Ban use of commissions outside of 'safe harbor,' says fund group.(News)
- Byline: Sara Hansard All advisers should have to abide by the same rules when it comes to using so-called soft dollars, the major mutual fund industry trade group told the Securities and Exchange Commission in a comment letter. ...
- Research articles 2006-09-18
- SEC Creates Safe Harbor for R&D Companies Under the Investment Company Act
- By David S. Rosenthal, Martin Nussbaum and Catherine Schultz By David S. Rosenthal, Martin Nussbaum and Catherine Schultz
- Research articles 2003-07-29
- Business & Securities Litigator Vol.14 No. 2
- This issue includes different articles like Director Liability Warnings From Delaware, The SEC's First Regulation FD Enforcement Actions, The Second Circuit Sets Standards For PSLRA Sanctions, and Courts Adopt A Practical Construction Of The Reform Act's Safe Harbor For Oral Forward-Looking Statements. The first article talks that Chief Justice Veasey's...
- White papers 2003-02-01
- SEC Adopts Safe Harbor for Research and Development Companies Under The Investment Company Act
- The article provides information about Rule 3a-8 which is particularly relevant for many biotechnology and other technology companies given it offers those companies qualifying as R&D Companies a new nonexclusive safe harbor from the regulatory requirements of the Act. Companies that raise significant amounts of capital invest the proceeds and...
- White papers 2003-08-01
Additional Resources
- 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
- Delta Petroleum Corp. Q4 2008 Earnings Call Transcript
- Earnings Call ExcerptDelta Petroleum Corp. DPTR Q4 2008 Earnings Call March 3, 2009 12:00 pm ET Executives Broc Richardson – Vice President, Corporate Development and Investor Relations Roger Parker – Chairman and Chief Executive Officer John Wallace – President and Chief Operating Officer Kevin Nanke – Treasurer and Chief...
- Earnings calls 2009-03-03
- Sec. 401(k) nondiscrimination safe harbors.(taxation)
- New design-based safe harbor methods for meeting the nondiscrimination rules for cash or deferred arrangements CODAs became effective Jan. 1, 1999 for calendar-year plans. These new methods, enacted by the Small Business Job Protection Act of 1996 SBJPA, allow many organizations to adopt or expand their...
- Research articles 1999-05-01
- SEC's Commission Guidance
- Commission dollars can be spent on research, but they must be restricted to advice, analyses and reports within the meaning of the Section 28e(3) of the Securities Exchange Act. Market, financial and similar data are eligible for a safe harbor. That's Commission dollars can be spent on research, but...
- Research articles 2005-11-01
- Repatriated earnings under sec. 965: using the safe-harbor test in 2007 to ease compliance reporting and protect tax benefits.
- U.S. multinational corporations repatriated billions of dollars in earnings from foreign subsidiaries to the U.S. under Sec. 965 during the time such repatriation was allowed. Companies that took advantage of this unique opportunity benefited from the temporary 85% dividends-received deduction DRD applied to qualifying dividends. To...
- Research articles 2007-08-01
- SEC Proposes Rules Under Section 401(A) Of The Sarbanes-Oxley Act
- The SEC published the proposing rules covering the disclosure in Management's Discussion and Analysis ("MD&A"). It also explains some of the features such as Definition of Off- Balance Sheet Arrangements, proposed Disclosure Threshold, proposed Disclosure of Off-Balance Sheet Arrangements, proposed Disclosure of Contractual Obligations and Contingent Liabilities and Commitments, safe...
- White papers 2002-11-08
- Donaldson Calls for Safe Harbor Changes
- The soft dollar issue is very complex, says SEC Chairman William Donaldson. What's required is better disclosure and also a tightening of the 1975 Section 28e regulation that created soft dollars. "There needs to be a refinement of 28e of what is research," Donaldson said at STA's annual Washington...
- Research articles 2004-06-01
- Donaldson Calls for Safe Harbor Changes.(Brief Article)
- The soft dollar issue is very complex, says SEC Chairman William Donaldson. What's required is better disclosure and also a tightening of the 1975 Section 28e regulation that created soft dollars. "There needs to be a refinement of 28e of what is research,"...
- Research articles 2004-06-01
- SEC Approves New Rule on Internal Control Reporting
- The Securities and Exchange Commission 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 voted to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-05-30
- SEC Adopts Rules Under the Sarbanes-Oxley Act of 2002 on Codes of Ethics and Audit Committee Financial Experts
- The U.S. Securities and Exchange Commission recently adopted final rules that were mandated by Sections 406 and 407 of the Sarbanes-Oxley Act, and set out new requirements with respect to: codes of ethics; and financial experts on an issuer's audit committee. The final rules implementing Section 406 of the Sarbanes-Oxley...
- White papers 2003-01-29
- SEC's Commission Guidance.(Securities Exchange Act)
- Commission dollars can be spent on research, but they must be restricted to advice, analyses and reports within the meaning of the Section 28e(3) of the Securities Exchange Act. Market, financial and similar data are eligible for a safe harbor. Tha Commission dollars can be spent...
- Research articles 2005-11-01
- Safe-harbor methods for claiming casualty and theft losses from 2005 gulf hurricanes.
- Congress and the IRS have relaxed the rules for deducting casualty losses for victims of the 2005 Gulf hurricanes (i.e., Katrina, Rita and Wilma). The Robert T. Stafford Disaster Relief and Emergency Assistance Act suspends the limits on personal casualties imposed by Sec. 165h; see Secs....
- Research articles 2006-10-01
- Abercrombie and Fitch Co. May 2008 Sales Call Transcript
- Earnings Call ExcerptAbercrombie and Fitch Co. ANF May 2008 Sales Call June 5, 2008 8:15 am ET Executives Brian Logan – Vice President, Investor Relations Presentation Brian Logan This is Brian Logan, Vice President of Investor Relations and Controller of Abercrombie & Fitch. The following is...
- Earnings calls 2008-06-05
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