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- How to Manage Investors in a Down Market
- When the economy is in upheaval, successfully managing investor expectations can be the difference between survival and disaster. Take Inventory of the Damage Goal: Understand how the economy is affecting your organization. Tailoring investor relations to a...
- Articles 2009-01-09
Additional Resources
- The Effect Of The SEC's Sarbanes-Oxley Regulations On Washington Attorneys' Obligations Under The Rpcs
- This article discusses whether the obligations of a Washington lawyer under the Rules of Professional Conduct been affected by Security and Exchange Commission regulations under the Sarbanes-Oxley Act imposing and/or authorizing reporting, disclosure and/or withdrawal obligations in certain circumstances? It also discusses pertinent language of the Washington Rules of Professional...
- White papers 2003-01-01
- Meat processor Tyson Foods has said it has agreed to settle an SEC case against the company regarding the disclosure of payments to executives
- Meat processor Tyson Foods has said it has agreed to settle an SEC case against the company regarding the disclosure of payments to executives. The SEC alleged that the company's proxy statements for the fiscal years from 1997 to 2003 had failed to comply with SEC regulations with respect to...
- Research articles 2004-12-20
- SEC issues guidance on year 2000
- Editors Note: From time to time, the SEC staff issues Staff Legal Bulletins. These are similar to the well-known Staff Accounting Bulletins, or ABs, except that the Legal Bulletins are used for nonaccounting matters. Like the SABs, Staff Legal Bulletins represent the views of the SEC staff Although they do...
- Research articles 1998-02-01
- Sec May Still Resurect The Ghost Of Acquisitions Past
- Following the tough new stance adopted by US financial regulators over accounting abuses (CI No 3,529), technology companies are still completely in the dark as to whether they will be forced to restate their figures for recently completed acquisitions. ComputerWire has now obtained a copy of the letter which initiated...
- Research articles 1998-11-10
- The Sarbanes-Oxley Act Of 2002 And Related SEC Rules
- In the wake of several corporate scandals, a need was felt for streamlining the corporate governance and accounting practices in organizations. The Sarbanes-Oxley Act of 2002 was enacted to address corporate irregularities. The paper presents a summary of the Act and certain Securities and Exchange Commission SEC regulations promulgated therein....
- White papers 2003-01-01
- LiveOffice Launches AdvisorMail HF to Help Hedge Funds Meet New SEC Compliance Guidelines
- LiveOffice Corporation (www.liveoffice.com), the developer of the AdvisorMail (www.advisormail.net) product line(1), today announced the availability of AdvisorMail HF, designed to help hedge funds meet new SEC regulations surrounding the proper monitoring, archiving and retrieval of email and instant message IM communications.
- Research articles 2004-11-03
- The Bank of New York Introduces CCOaccess To Facilitate Mutual Fund Compliance with New SEC Rules
- NEW YORK -- The Bank of New York, a global leader in securities servicing, has developed a web-based product designed to help mutual funds comply with new SEC regulations that require all funds to designate a chief compliance officer and to strengthen compliance programs.
- Research articles 2004-09-23
- ClearOne denies SEC allegations
- ClearOne Communications Inc. on Friday denied all allegations by the U.S. Securities and Exchange Commission, including claims that the company misled its auditors and investors about its performance. In a 12-page response filed in U.S. District Court for Utah Friday evening, ClearOne categorically denied it violated any SEC...
- Research articles 2003-02-08
- Appeals court overturns SEC rules on mutual funds but gives agency
- WASHINGTON -- Rules governing the mutual fund industry, designed to protect investors from abuses, were overturned by a federal appeals court Friday and sent back to the Securities and Exchange Commission for the second time in less than a year. In a 3-0 ruling, the U.S. Court of...
- Research articles 2006-04-10
- Nonqualified deferred compensation and sec. 409A final regs.
- Prior to Sec. 409A, the regulations applicable to deferred compensation plans, particularly nonqualified deferred compensation NQDC plans, were somewhat murky. After a number of corporate scandals, Congress legislated restrictions for NQDC plans in 2004. Since the enactment of Sec. 409A, interpretive guidance and ...
- Research articles 2007-10-01
- SEC posts new hedge fund regulations.(Alternatives:Securities and Exchange Commission)
- WASHINGTON - The SEC has posted new hedge fund regulations on its website, www.sec.gov, amending the 1940 Investment Advisers Act. The new rules are not greatly changed from the draft version released this summer. Hedge fund management companies ma WASHINGTON - The SEC has...
- Research articles 2004-12-13
- SEC CHIEF DISCLOSES 10 INITIATIVES TO IMPROVE FINANCIAL REPORTING REGULATIONS
- The Securities and Exchange Commission SEC has identified 10 initiatives to improve and modernize U.S. financial disclosure regulations for publicly traded companies, SEC Chairman Harvey L. Pitt told a House subcommittee last week. Federal financial The Securities and Exchange Commission SEC has identified 10 initiatives to improve...
- Research articles 2002-02-11
- Reporting Duties of Corporate Attorneys: SEC Rules and Regulations. (Corporate).
- CCH, Inc. (Riverwoods, IL) has published Reporting Duties of Corporate Attorneys: SEC Rules and Regulations, a new guide to the new attorney reporting rules recently adopted by the SEC. It includes information on each reporting requirement, including CCH, Inc. (Riverwoods, IL) has published Reporting Duties of...
- Research articles 2003-04-30
- SEC derivative guidelines shouldn't impact insurers.(Securities and Exchange Commission)
- The Securities and Exchange Commission's new disclosure regulations governing derivatives should not have an adverse effect on the life insurance industry. The SEC disclosure regulations mandate reports on the risk of losses from price changes and and marThe Securities and Exchange Commission's new disclosure regulations governing derivatives should not have...
- Research articles 1997-02-10
- Amortization of start-up costs.(IRS regulations)
- The IRS just released final regulations, effective for elections filed on or after Dec. 17, 1998, providing rules and procedures for electing to amortize start-up expenditures under Sec. 195. Sec. 195 generally provides that no deduction is allowed f The IRS just released final regulations, effective...
- Research articles 1999-04-01
- Final and prop. COBRA regs.(Consolidated Omnibus Reconciliation Act of 1985; IRS regulations)
- A mere 12 years after the first proposed Consolidated Omnibus Budget Reconciliation Act of 1985 COBRA health care continuation regulations under Sec. 4980B were released, the IRS has issued final regulations and additional proposed regulations. In A mere 12 years after the first proposed Consolidated...
- Research articles 1999-06-01
- AICPA International Practices Task Force
- The AICPA SEC Regulations Committee's International Practices Task Force meets periodically with the staff of the SEC to discuss emerging technical accounting and reporting issues relating to SEC rules and regulations. The purpose of this article is to summarize the issues discussed at the meetings. These highlights have not been...
- White papers 2003-01-01
- Final regs. define "income" under sec. 643.
- EXECUTIVE SUMMARY * Under the Sec. 643 regulations, income is determined under the governing instrument and applicable local law. * The regulations recognize a reasonable apportionment of income, gains and appreciation between income and remainder beneficiaries under state law. ...
- Research articles 2005-05-01
- Highlights of the sec. 199 final regs.
- The following overview discusses how the final Sec. 199 regulations (TD 9263, issued 5/24/06), compare to the proposed regulations (REG-105847-05, issued 11/4/05), and to Notice 200514 (issued 1/1/9/05). The final regulations were effective June 1, 2006, but can be applied to earlier tax periods. ...
- Research articles 2006-08-01
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