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- Impact Of Sarbanes-Oxley Act Of 2002 On Retirement Plan And Executive Compensation Matters
- In recent years, a significant Act has impacted a broad range of financial activities in the public sector company domain. One of the Act's goals is the protection of retirement plan participants and the elimination of certain non-conformist executive compensation practices. The paper briefs the public companies and employee benefit...
- White papers 2002-09-03
- Sec Adopts Final Rules Regarding Conditions For Use Of Non-Gaap Financial Measures And New Filing Requirements Under Form 8-K
- The Securities and Exchange Commission SEC has adopted final rules governing the use of non-Generally Accepted Accounting Principles GAAP financial measures. Section I of the paper highlights significant distinctions between the proposed and the final adopted rules. Sections II and III summarize the material terms of the final rules. ...
- White papers 2003-02-05
- Sec Adopts Final Rules Regarding Minimum Standards Of Professional Conduct For Attorneys
- The Securities and Exchange Commission SEC seeks to streamline professional conduct for attorneys. It has issued rules governing professional responsibilities for attorneys. It also lays down ‘minimum standards' of professional conduct for attorneys appearing or practicing before the SEC. The paper presents a summary of the final rules as well...
- White papers 2003-02-20
- Sec Adopts Rules Regarding Auditor Independence And Retention Of Audit Records
- The Securities and Exchange Commission SEC seeks to streamline the audit process in a company. It has issued certain rules regarding audit management in the company. These rules include fixed time limit for working in the audit engagement team and disclosure of the audit report to the audit committee. The...
- White papers 2003-03-11
- Sec Adopts Standards Relating To Listed Company Audit Committees
- The Sarbanes-Oxley Act of 2002 directs the Securities and Exchange Commission SEC to adopt rules prohibiting national security exchanges to list any security not in compliance with the Act's listed company audit committee requirements. The paper discusses the audit committee standards to be followed for listing securities herein. It also...
- White papers 2003-04-28
- Sec Adopts Rules Regarding Electronic Filing And Posting Of Forms 3, 4 And 5
- The Securities and Exchange Commission SEC, under the direction of a recent Act, seeks to streamline the behavior of a companies' insiders. It has adopted rules regarding electronic filing of beneficial ownership reports by the insiders. The rules call for enhanced transparency in the insiders' actions and movements. They also...
- White papers 2003-05-23
- Sec Adopts Final Rules Regarding Improper Influence On The Conduct Of Audits
- A recent Act directs the Securities and Exchange Commission SEC to adopt rules prohibiting officers and directors of a public company from improperly influencing the conduct of the company's audit. The same seeks to streamline the audit process of the company and root out irregularities from it. The paper examines...
- White papers 2003-05-29
- Sec Adopts Final Rules Regarding Management?s Reports On Internal Control Over Financial Reporting
- A recent Act directs the Securities and Exchange Commission SEC to adopt rules regarding inclusion of procedures for financial reporting in the internal control report of the company. This way the Act seeks to properly document and institutionalize these procedures. The paper discusses various aspects and nuances of these rules....
- White papers 2003-06-27
- The Implications Of The Sarbanes-Oxley Act On Employers
- A recent Act attempts to provide corporate reform by imposing new accounting requirements and penalties for violating securities laws. These rules govern the public companies. The Act requires that companies encourage employees to come forward with information regarding potential corporate fraud. It prohibits employers from retaliating against employees who provide...
- White papers 2003-01-01
- Sec Issues Guidance Regarding MD&A Disclosure
- A recent release issued by the Securities and Exchange Commission SEC presents the commission's position on how companies can best comply with existing disclosure requirements in their Management's Discussion and Analysis of Financial Condition and Results of Operations (MD&A). The new guidelines allow the companies to check for transparency and...
- White papers 2004-01-22
- NYSE Adopts Final Corporate Governance Rules
- The final New York Stock Exchange corporate governance rules impose new requirements regarding director independence, board committee functions, membership, and codes of conduct. The listing standards were modified in large part to meet the Securities and Exchange Commission objective of substantial uniformity with new NASDAQ corporate governance rules. The paper...
- White papers 2003-11-26
Additional Resources
- In Business To Make Good Laws
- How can private business influence government decisions! And should it? Those were two questions addressed by a panel of experts assembled by Winston-Salem-based law firm Womble Carlyle Sandridge & Rice PLLC: Walter Price, senior vice president for federal-government relations at Charlotte-based Wachovia; Jeffrey Lane, chief of staff for Sen. Ken...
- Research articles 2007-07-01
- New campaigns.(Advertising)(Greenfield/Belser Ltd.)(JWT Group Inc.)(Merrill Lynch & Company Inc.)(Womble Carlyle Sandridge and Rice)(Brief article)
- Merrill Lynch Merrill Lynch
- Research articles 2007-12-10
- Bar Appoints Former North Carolina Supreme Court Justice to Task Force.
- By Brian Louis, Winston-Salem Journal, N.C. Knight Ridder/Tribune Business News Sep. 20--A partner with Womble Carlyle Sandridge & Rice PLLC, Burley Mitchell, has been named to an American Bar Association task force that is examining ways to restore the public's trust in...
- Research articles 2002-09-20
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