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- Final SEC Rules on Electronic Filing and Web Site Posting of Section 16 Reports
- On May 7, 2003, the Securities and Exchange Commission published a release covering required electronic filing and Web site posting of Section 16. While the rule and form amendments were, generally, adopted as proposed, the Commission adopted additional rule amendments to permit Section 16 forms submitted by direct transmission. Section...
- White papers 2003-05-12
- SEC Adopts Rules to Implement Accelerated Section 16 Reporting
- On August 27, 2002, the Securities and Exchange Commission adopted new rules relating to Section 16 as directed by the Sarbanes-Oxley Act, including new accelerated filing deadlines. Section 16 applies to transactions in a public company's equity securities by its directors, certain officers and 10% or greater beneficial shareholders. It...
- White papers 2002-09-01
Additional Resources
- SEC Adopts Final Rules For Section 16 Reporting Under the Sarbanes-Oxley Act of 2002
- Under Section 16a of the Securities Exchange Act of 1934 (the "Exchange Act"), a new rules for changes in beneficial ownership of beneficial owners of more than 10% of any class of equity securities registered pursuant to Section 12 of the Exchange Act and each officer and director of the...
- White papers 2002-10-03
- Accelerated Under Section 16(a)
- The recently enacted Sarbanes-Oxley Act of 2002 amended the reporting obligations under Section 16a of the Securities Exchange Act of 1934 that are applicable to officers, directors and 10% beneficial owners of equity securities of U.S. companies with a class of equity securities registered under Section 12 of the Securities...
- White papers 2002-08-13
- Sarbanes-Oxley Section 403; Final Section 16 Rules
- The SEC adopted final rules to implement Section 403 of the Sarbanes-Oxley Act of 2002 (the "Act"). The SEC amended the Section 16 report forms to refer to the new, statutory deadline for filing a Form 4 and to reflect that Form 4 is no longer a monthly report. It...
- White papers 2002-08-27
- Mandatory Electronic Filing Of Section 16 Ownership Reports.
- On April 24, 2003, the SEC voted to approve mandatory electronic filing of beneficial ownership reports under Section 16a of the Securities Exchange Act of 1934, which was recently amended by Section 403 of the Sarbanes-Oxley Act of 2002. The new On April 24,...
- Research articles 2003-04-28
- BOOKS AND REFERENCES: Section 16
- Aspen Law & Business New York said that it has released a third edition of "A Practical Guide to Section 16: Reporting and Compliance" in response to new rules adopted by the SEC last May. It is designed to be a guide to the Section 16 Aspen...
- Research articles 1996-12-31
- Insider trading deterrence versus managerial incentives: a unified theory of section 16(b). (section 16(b) of the Securities Exchange Act of 1934)
- Section 16b of the Securities Exchange Act of 1934 should be applied to classes of transactions for which the likelihood that insider information is being used is higher than for transactions by officers and directors in general. Section 16b requires officers and directors to disgorge profits on all short-swing transactions,...
- Research articles 1994-06-01
- The Sarbanes-Oxley Act of 2002: Mandated Electronic Filing and Website Posting for Section 16 Filers
- "The final rules implementing Section 403 of Sarbanes-Oxley Act of 2002 (""SOX"") states that Section 403 requires passage of SOX, all Section 16 forms (i.e., Forms 3, 4 and 5) must be filed electronically. Section 403 also requires that the Securities and Exchange Commission (""SEC"") provide access to the forms...
- White papers 2003-05-22
- Third Circuit Rejects Petition for Rehearing: Section 16 Short-Swing Profit Exemption Limited in M&A Context
- Section 16b of the Exchange Act applies to officers, directors and greater than 10% beneficial owners of equity securities of companies having equity securities registered under Section 12 of the 1934 Act. Rule 16b-3 is an exemption from Section 16b that has been in existence for many years. On the...
- White papers 2003-06-06
- Sarbanes-Oxley Act Update: SEC Adopts Final Rules For Accelerated Section 16(a) Reporting
- On August 27, 2002, the Securities and Exchange Commission adopted final rules concerning the accelerated filing deadline for Form 4 reports under Section 16a of the Securities Exchange Act of 1934 required by the Sarbanes-Oxley Act of 2002. The recently enacted Sarbanes-Oxley Act substantially shortens, the reporting obligations under Section...
- White papers 2002-08-29
- New Section 16 Filing Deadlines in Connection With Corporate Governance Reform
- As noted in a prior Jones Day memorandum, the Sarbanes-Oxley Act of 2002 includes significant modifications to the timeframe for filing reports of changes in beneficial ownership by Section 16 insiders. This memorandum summarizes the current status of these new reporting requirements. Attached to this memorandum is another memorandum that...
- White papers 2002-08-20
- Section 16 Reporting Changes under the Sarbanes-Oxley Act.
- By Ronald O. Mueller, Brian J. Lane, Amy Goodman and Stanton P. Eigenbrodt The recently enacted Sarbanes-Oxley Act (the "S-O Act") amended and restated Section 16a of the Securities Exchange Act of 1934 (the "Exchange Act") to require executive officers, directors and greater than ten percent stockholders ("insiders")...
- Research articles 2002-08-22
- Electronic Filing and Website Posting of All Section 16 Reports
- This article was prepared by lawyers in the Corporate and Securities Group On April 24, 2003, the Securities and Exchange Commission adopted revisions to Regulation S-T and to Rule 16a-3 promulgated pursuant to Section 16 of the Securities Exchange Act of 1934 and the related Forms 3, 4...
- Research articles 2003-06-11
- SEC Proposes Rules For Comment Implementing Electronic Filing Of Section 16 Insider Ownership Reports
- The Securities and Exchange Commission SEC proposed rules for comment that, if adopted, will implement Section 403 of the Sarbanes-Oxley Act of 2002 requiring: i the mandatory electronic filing of beneficial ownership reports on Form 3 and changes in beneficial ownership reports on Forms 4 and 5 on the SEC's...
- White papers 2003-01-09
- Legal Alert: Accelerated Filing Deadlines For Form 4 Reports Under Section 16
- "On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002, which, among other things, substantially changed the filing deadlines for Form 4 reports under Section 16 by requiring that Form 4 reports be filed before the end of the second business day following the execution of...
- White papers 2003-01-01
- SEC Adopts Rules Mandating Electronic Filing Of Section 16(A)
- The Securities and Exchange Commission SEChas adopted rule and formed amendments to mandate the electronic filing, and Web site posting by issuers with corporate Web sites, of beneficial ownership reports filed by corporate officers, directors and principal security holders on Forms 3, 4 and 5 under Section 16a of the...
- White papers 2003-05-14
- Acceleration of Insider Reporting Under Section 16
- By Edward S. Best, James B. Calson, Robert E. Curley, Michael L. Hermsen, Philip J. Niehoff, Laura D. Richman, David A. Schuette and James R. Walther Originally published on August 29, 2002 On August 27, 2002, the Securities and Exchange Commission adopted new rules implementing...
- Research articles 2002-09-23
- Planning for Electronic Filing and Website Posting of Section 16(a) Reports.
- By Ronald Mueller, Brian Lane, Amy Goodman, Stanton Eigenbrodt, Elizabeth Ising and Ari Lanin. On May 7, 2003, the Securities and Exchange Commission the oSECo published final rules under Section 16a of the Securities Exchange Act of 1934 requiring all Forms 3, 4 and 5 to be filed...
- Research articles 2003-06-17
- Section 16 Reporting Changes Under the Sarbanes-Oxley Act : What You Need to Know
- The article is about value based leadership. Values are the operated standards. They are fundamental to the identity. They are rules that dictate the behavior and inform the choices. The values act as guides in implementing the court's vision. It provide the information on bench-bar coalition. The bench-bar coalition is...
- Presentations 2002-08-29
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