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- Sarbanes-Oxley Act of 2002 Highlights for Foreign Private Issuers
- The Sarbanes-Oxley Act 2002 applies to any issuer, including any non-US issuer, that has securities registered or is required to file reports under the Securities Exchange Act of 1934 (the ôExchange Actö). It also applies to an issuer that has filed a registration statement under the Securities Act of 1933...
- White papers 2002-08-02
Additional Resources
- SEC Approves Foreign Filers on EDGAR.(foreign companies and foreign governments to file their Securities Act and Exchange Act documents electronically through the Commission's Electronic Data Gathering, Analysis and Retrieval System)(Brief Article)
- The Securities and Exchange Commission has approved the issuance of a release proposing rule amendments to require foreign companies and foreign governments to file their Securities Act and Exchange Act documents electronically through the Commission The Securities and Exchange Commission has approved the issuance of ...
- Research articles 2001-11-01
- Resales of securities under the Securities Act of 1933
- I. IntroductionIn the 1972 release(1) that accompanied the adoption of Rule 145,(2) the Securities and Exchange Commission (the "Commission") patched up a small portion of the nearly nonsensical and fundamentally unprincipled rules regarding resales of securities under the Securities Act of 1933 (the "1933 Act").(3) In that release, the Commission...
- Research articles 1995-01-01
- Aftermarket purchaser standing under sec 11 of the Securities Act of 1933
- Following the collapse of the financial markets in the United States in October 1929, Congress enacted the Securities Act of 1933 (the "1933 Act").1 It was a cataclysmic change in the nature of the securities markets. Before the 1933 Act an attitude and legal climate of caveat emptor applied to...
- Research articles 1999-07-01
- Pleading under Section 11 of the Securities Act of 1933.
- The Securities Act of 1933 ("Securities Act") requires full and fair disclosure of the nature of securities sold in interstate and foreign commerce.(1) Section 11 of the Securities Act prohibits false or misleading registration statements. It also provides buyers a private remedy for false or misleading...
- Research articles 2000-06-01
- Aspen Publishers launches "Securities Act Handbook".
- In related news, Aspen Publishers New York has also begun the publication of "Securities Act Handbook," a loose-leaf title that includes a library of U.S. securities laws and regulations. Updated bimonthly, the new volume costs $340. In related news, Aspen Publishers New York has...
- Research articles 2005-11-01
- Deconstructing section 11: public offering liability in a continuous disclosure environment.(section 11 of the Securities Act of 1933)
- DONALD C. LANGEVOORT [*] I INTRODUCTION Shortly after the Securities Act of 1933 [1] ("1933 Act") became law, critics from the securities industry charged that the civil liability provisions created by Section 11 of the Act...
- Research articles 2000-06-22
- The Uniform Securities Act of 2002.
- By Philip A. Feigin* [*Disclaimer: I worked on the drafting of the Uniform Securities Act of 2002 both as Executive Director of the North American Securities Administrators Association and as counsel to the Association. Even so, for purposes of this article, the opinions, facts and impressions are solely...
- Research articles 2003-08-05
- Personal Properties Securities Act 1999: NZ's new Regime
- New Zealand's Personal Properties Securities Act 1999 PPSA creates a new online registration regime which captures a wide range of transactions, some of which have not needed to be registered in the past, for example, chattel leases, reservation of title clauses and assignments. Registration is not compulsory but is useful...
- White papers 2002-05-01
- Newgold, Inc. Announces It is Now Current with SEC Securities Act of 1934 Filings
- CAMERON PARK, Calif. -- Newgold, Inc. (OTCBB: NGLD) announced today that it has recently completed the filing of its January 31, 2004 10K-SB as well as its 10Q-SBs for the quarters ended April 30, 2004, July 31, 2004 and October 31,2004. Accordingly, Newgold has filed all reports required under the...
- Research articles 2005-01-04
- Non-U.S. Issuers and the Sarbanes-Oxley Act of 2002
- In response to the recent accounting scandals in the United States, such as those involving Enron and WorldCom and their subsequent bankruptcy filings, President Bush signed into law on July 30, 2002 (the "Enactment Date") the Sarbanes-Oxley Act of 2002 ("Sarbanes-Oxley Act" or the "Act"). The Act is likely to...
- White papers 2002-08-15
- The Sarbanes - Oxley Act of 2002 Implements Important Corporate Governance Reforms
- The Sarbanes-Oxley Act of 2002 Act, has ushered in an era of increased regulation of corporate governance, increased responsibilities and liabilities for executive officers. The Act represents the response by congressional leaders and the administration to the Enron debacle and, more recently, alleged fraudulent practices by other large public companies....
- White papers 2002-08-01
- SEC Approves Final Rule on Disclosure and Registration of Asset-Backed Securities
- On December 15, 2004 the Securities and Exchange Commission SEC approved new rules that provided a comprehensive securities regulatory framework for publicly issued mortgage-backed and Asset Backed Securities ABS. The rules primarily addressed four areas of securities regulation: registration requirements under the Securities Act of 1933, as amended (the "1933...
- White papers 2005-02-01
- New Rules Under the Sarbanes-Oxley Act Applicable to Non-US Companies
- The Sarbanes-Oxley Act already has had, and is likely to continue to have, a considerable impact on the disclosure that US and non-US companies make pursuant to the US Securities Act of 1933 (the "Securities Act") and the US Securities Exchange Act of 1934 ("Exchange Act") and on the way...
- White papers 2003-02-01
- Sarbanes-Oxley Act Of 2002-Update
- On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002. The Act represents sweeping legislation with significant implications for companies required to file periodic reports under the Securities Exchange Act of 1934, as amended or that have filed a registration statement under the Securities Act of...
- White papers 2002-09-06
- Securities fraud
- I. INTRODUCTION Seven statutes regulate Federal securities transactions. (1) Congress passed the most important of these, the Securities Act of 1933 ("1933 Act") and the Securities Exchange Act of 1934 ("1934 Act"), in response to fraud in securities markets and a perceived lack of public information about the...
- Research articles 2002-03-22
- Premises for reforming the regulation of securities offerings: an essay.
- JAMES D. COX [*] I INTRODUCTION One of the most significant characteristics of the Federal Securities Act of 1933 [1] is its durability. Even though the Securities Act has been amended several times since its enactment,...
- Research articles 2000-06-22
- Securities law in the new millennium
- Remarkable changes have occurred in the capital markets and capital raising process since the passage of the Securities Act of 1933,1 (the "1933 Act"), and the Securities and Exchange Act of 1934,2 (the "1934 Act" and, together with the 1933 Act, the "Securities Acts"). Perhaps the most striking changes have...
- Research articles 2001-01-01
- Securities Acts: Requirements for Accounting
- SECURITIES ACTS: REQUIREMENTS FOR ACCOUNTINGCompanies issuing securities to the public are required to file registration reports and statements with the U.S. Securities and Exchange Commission SEC in accordance with the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 act requires that a registration statement be...
- Research articles 1999-01-01
- SEC Charges Two Former J.P. Morgan Securities Officers in Alabama Illegal Payments Scheme
- « Corp Fin Staff Release New Guidance on Shareholder Proposals related to Risk and Succession Planning | Main | Three Former Symbol Technologies Settle Accounting Fraud Charges » The SEC filed fraud charges against Charles E. LeCroy and Douglas W. MacFaddin, two former directors of J.P. Morgan Securities Inc. in connection with an unlawful...
- News items 2009-11-04
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