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- SEC Issues Rules Prohibiting Insider Trading During Pension Blackout Periods
- The Securities Exchange Commission has adopted final rules under Section 306a of the Sarbanes-Oxley Act, which prohibit insider trading during pension plan blackout periods. Section 306a of the Sarbanes-Oxley Act prohibits directors and executive officers of public companies from directly or indirectly purchasing, selling or otherwise acquiring or transferring any...
- White papers 2003-01-01
Additional Resources
- Tower no longer reporting to SEC.(Securities Exchange Commission, MTS Inc. Tower Records)
- Tower Records/Video has ceased making financial disclosures to the Securities Exchange Commission in what is believed to be a precursor to a sale or bankruptcy filing. The family-owned West Sacramento, Calif.-based music specialty chain, whic Tower Records/Video has...
- Research articles 2003-11-24
- Local CPAs react to fallout from Enron's cooked books.(Securities Exchange Commission calls for accounting firm regulation)(Brief Article)
- The aftereffects of Enron Corp.'s tipsy balance sheets have the U.S. Securities Exchange Commission SEC chairman calling for a more watchful eye around accounting practices. Just how the collapse of the seventh-largest company will affect the ac The aftereffects of Enron Corp.'s tipsy...
- Research articles 2002-01-28
- Sobik's Subs Inc. files Form 10SB with Securities & Exchange Commission; Applies for inclusion on the NASDAQ System
- MIAMI--BUSINESS WIRE--July 25,1996--Robert S. Berg, chairman and chief executive officer of Sobik's Subs Inc. (OTC BB:SBIK) Thursday announced that the company has filed a Form 10SB with the Securities & Exchange Commission, pursuant to Rule 12b of the Securities Exchange Act of 1933.
- Research articles 1996-07-25
- Securities Exchange Commission Clears the Way for Newriders to Merge With Paisano Publications and El Paso Bar-B-Que; Shareholders to Vote On Sept. 22; Approval Expected
- NEWPORT BEACH, Calif.--BUSINESS WIRE--Sept. 9, 1998--Newriders Inc. (OTC BB:NWRD) Wednesday announced that it has received Securities Exchange Commission approval of its S-4 Registration Statement, as amended and submitted on Aug. 28, 1998, clearing the way for the company to proceed with its intended mergers with Paisano Publications Inc., and its...
- Research articles 1998-09-09
- Securities Exchange Commission Clears the Way for Newriders to Merge With Paisano Publications and El Paso Bar-B-Que; Shareholders to Vote On Sept. 22; Approval Expected
- NEWPORT BEACH, Calif.--BUSINESS WIRE--Sept. 9, 1998--Newriders Inc. (OTC BB:NWRD) Wednesday announced that it has received Securities Exchange Commission approval of its S-4 Registration Statement, as amended and submitted on Aug. 28, 1998, clearing the way for the company to proceed with its intended mergers with Paisano Publications Inc., and...
- Research articles 1998-09-09
- AngloGold Ashanti Amends Merger Agreement to Acquire 100% of Golden Cycle Gold Corporation and Files Registration Statement With the Securities Exchange Commission
- AngloGold Ashanti (NYSE: AU) amends merger agreement to acquire 100% of Golden Cycle Gold Corporation and files registration statement with the Securities Exchange Commission Further to the announcement of 14 January 2008 related to the proposed acquisition by AngloGold Ashanti of 100% of Golden Cycle Gold Corporation ("the Transaction"),...
- Research articles 2008-05-30
- Power-Cell Inc. Files Preliminary Proxy Statement With the Securities Exchange Commission
- DALLAS--BUSINESS WIRE--May 11, 1999-- Mr. Jim Rambin, president of Power-Cell (OTC BB:POCE) and Mr. Thomas Baker president of Park Pharmacy Corporation announced today that Power-Cell has filed a form 14A Proxy Statement with the Securities Exchange Commission SEC. The Proxy Statement calls for a special Shareholders Meeting on or...
- Research articles 1999-05-11
- Hawks Announces That the June 10, 1999 Proxy Comments Have Been Received by the Securities Exchange Commission
- Business Editors CASPER, Wyo.--BUSINESS WIRE--Dec. 22, 1999 Hawks Industries, Inc. (NASDAQ: HAWK) today the Chairman of the Board of Directors of Hawks Industries, Inc. ("Hawks"), Bruce A. Hinchey, announced that Securities Exchange Commission Shareholder Proxy comments for the June 10, 1999 Agreement with Universal Equities Ltd., David H....
- Research articles 1999-12-22
- Shandong Huaneng and Huaneng Power International File Amendments to the Schedule 13E-3 With the Securities Exchange Commission
- Business Editors BEIJING, China--BUSINESS WIRE--Sept. 14, 2000 Shandong Huaneng Power Development Co., Ltd. ("Shandong Huaneng"; NYSE: SH) and Huaneng Power International, Inc. ("Huaneng Power"; NYSE: HNP) today announced that they have filed amendments to the Schedule 13E-3 that they filed jointly with the Securities Exchange Commission (the "SEC")...
- Research articles 2000-09-14
- SEC subpoenas GE in insurance probe.(Securities & Exchange Commission)(General Electric Co.)(Brief Article)
- Fairfield-based General Electric acknowledged last week that it had received a subpoena from the New York office of the Securities & Exchange Commission seeking documents relating to "certain loss mitigation insurance products." GE c Fairfield-based General Electric acknowledged last week that it had...
- Research articles 2005-05-09
- Securities & Exchange Commission adopts new rules to counter market timing.(Regulation)
- FINAL ADOPTION BY THE Securities and Exchange Commission on April 13 of regulatory requirements to counter market timing generally was greeted positively. There were, however, lingering concerns over points in the new rules, such as specific detailin FINAL ADOPTION BY THE Securities and Exchange Commission on...
- Research articles 2004-04-19
- Funds raise global warming alarm to SEC; Pension leaders link investment risk with enviro concern.(News)(Securities & Exchange Commission)
- Byline: Elizabeth Thompson Beckley Leaders of 13 major pension funds are calling on the U.S. Securities & Exchange Commission to issue guidance on the enforcement of existing rules that they say include disclosure of the financial risks o ...
- Research articles 2004-04-26
- Good news on 'mark-to-market' rule? (Securities and Exchange Commission; accounting)
- A report by Salomon Brothers says that the life insurance industry may benefit from recent comments on the financial consequences of Financial Accounting Statement FAS 115 by the Securities Exchange Commission SEC. FAS 115 affects the mark-to-market aA report by Salomon Brothers says that the life insurance industry may benefit...
- Research articles 1994-01-10
- SEC ins. focus may boost funds' competitiveness.(Securities & Exchange Commission)
- The downside to an increasing scrutiny of the insurance industry by the Securities & Exchange Commission SEC is the likelihood of it intensifying the competition between insurers and mutual funds for investment dollars. The SEC has been advocating fThe downside to an increasing scrutiny of the insurance industry by the...
- Research articles 1995-04-17
- SEC Position Will Burden Insurers.(Securities & Exchange Commission)(Brief Article)
- Officials at the Securities and Exchange Commission are trying to increase responsibilities borne by variable annuity and variable life insurers by pressing them to accept responsibility for VA and VL sales suitability. Officials at the Securities and Exchange Commission are trying to increase...
- Research articles 1999-08-16
- Biomax Files Form 20-F Registration Statement With U.S. Securities &Exchange Commission
- Business Editors VANCOUVER, British Columbia--BUSINESS WIRE--Feb. 2, 2000 (CDNX:BIX) Biomax Technologies Inc. (&uot;Biomax,&uot; the &uot;Company&uot;) is pleased to announce that it has filed a Form 20-F Registration Statement with the United States Securities and Exchange Commission (&uot;SEC&uot;). The Form 20-F allows foreign corporations to register securities with...
- Research articles 2000-02-02
- Xynergy Files Form 15 to Deregister Its Stock With Securities & Exchange Commission
- Xynergy Corporation (PINKSHEETS: XYNC) announced today that it has filed a Form 15 with the Securities and Exchange Commission to terminate the registration of the Company's stock and suspend its reporting obligations under the Securities Exchange Act of 1934. Having fewer than 300 shareholders of record, Xynergy is...
- Research articles 2007-01-22
- Pay to play.(International Securities Exchange's order flow fee program)(Brief Article)(Statistical Data Included)
- On Jan. 10 the Securities Exchange Commission SEC approved the International Securities Exchange ISE new payment for order flow fee program. The ISE's plan calls for fees to be imposed on primary market makers of their electronic trading platform and distributed to electronic access members. ...
- Research articles 2001-03-01
- MCT, Former Execs Settle with SEC - Micro Component Technology and Securities Exchange Commission
- Micro Component Technology Inc. MCT reached an agreement with the Securities and Exchange Commission to resolve an investigation initiated in 1994. The SEC probe focused on MCT books, records and public filings for fiscal 1993 and the first two quarters of fiscal 1994 regarding revenue recognition and other accounting practices....
- Research articles 1999-02-22
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