Download or read book Insider Reporting and Liability Under Section 16 of the Securities Exchange Act of 1934 written by Peter J. Romeo and published by . This book was released on 1990 with total page 268 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Guide to Section 16 written by James Hamilton and published by Cch Incorporated. This book was released on 2004 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt: The passage of the Sarbanes-Oxley Act dramatically changed the reporting of insider transactions. The Act amended Section 16(a) to require directors, officers and 10 percent equity holders to report their purchases and sales of securities by the end of the second day following the transaction, or such other time established by the SEC where the two-day period is not feasible. The landmark legislation also mandated that transactions between officers or directors and their company previously reportable on an annual basis on Form 5 must now be reported within two business days on Form 4. Sarbanes-Oxley also required that the two-day statement reporting insider trades be filed electronically, and SEC rules require the electronic filing of Forms 3, 4 and 5. Moreover, The SEC must provide the two-day statement on a publicly accessible Internet site by the end of the business day following the filing. Finally, The company, if it maintains a corporate Web site, must provide the statement on that Web site by the end of the business day following the filing. The CCH Guide to Section 16: Insider Reporting and Short-Swing Trading Liability examines the recent changes effected by the Sarbanes-Oxley Act, As well as detailing the rules and interpretations and no-action letters on insider reporting under Section 16(a). In addition, The complex Section 16(b) short-swing trading prohibition is discussed.

Download or read book A Practical Guide to Section 16 written by Stanton P. Eigenbrodt and published by Wolters Kluwer. This book was released on 2003-01-01 with total page 761 pages. Available in PDF, EPUB and Kindle. Book excerpt: Refers to Section 16 of the Securities Exchange Act of 1934.

Download or read book Section 16 Reporting Guide written by Peter J. Romeo and published by . This book was released on 1989 with total page 674 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Insider Reporting and Short swing Trading written by Commerce Clearing House and published by . This book was released on 1992 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Section 16 Rule Changes for Reporting insiders Securities Transactions and Ownership Under the Securities Exchange Act of 1934 written by Linda B. Bridgman and published by . This book was released on 1991 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Guide to Insider Reporting Under Section 16 a written by James Hamilton and published by . This book was released on 1996 with total page 87 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Insider Trading written by William K. S. Wang and published by Aspen Publishers. This book was released on 1996 with total page 1288 pages. Available in PDF, EPUB and Kindle. Book excerpt: Here, at last, is a clear, practical guide on what's legal and what isn't in insider trading. It's the only book that gives you everything you need to: Identify every potential source of insider trading liability -- Deter inadvertent violations with an effective compliance program -- Raise powerful defenses to government and private actions, formations, and transactions. With comprehensive, up-to-date coverage and analysis of such significant aspects as government enforcement, which private plaintiffs can sue, and transnational transactions, you'll find more information -- and more readily usable strategy -- than in any other source on the subject. In one convenient volume, Insider Trading shows you all the ways to avoid liability exposure under all applicable law, including: The Supreme Court case, United States v. O'Hagan -- Federal mail and wire fraud statutes -- Section 10(b) and Section 16(b) -- Bilateral treaties and SEC memoranda with 21 foreign jurisdictions -- Transnational transactions -- State law pitfalls.

Download or read book Protection of the Market written by Jose Luis Letelier and published by . This book was released on 1988 with total page 236 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book A Practical Guide to Section 16 written by Amy L. Goodman and published by Aspen Publishers. This book was released on 1997 with total page 628 pages. Available in PDF, EPUB and Kindle. Book excerpt: Rely on the expertise of 15 securities professionals for everything you need to know and do under the Section 16 rules. Compliance is easy with this convenient manual to guide you step-by-step through every phase of the Section 16 reporting scheme. A Practical Guide to Section 16: Reporting and Compliance provides detailed answers to such questions as: Must a plan be 'tax qualified' to take advantage of Rule 16b-3? is shareholder approval required to exempt plan transactions? What is a non-employee director for purposes of the rules? What is a 'discretionary transaction' under the rules? is it possible to 'mix and match' exemptions? Are any of the pre-1991 Section 16 rules still in effect? The Guide also supplies such helpful materials as: Forms 3, 4, and 5 filled out under more than 25 different scenarios an abundance of examples illustrating the effect of the rules the full text of revised Section 16 and relevant SEC adoptive releases A detailed compliance timetable to assist in planning and meeting deadlines.

Download or read book Sales of Securities by Corporate Insiders written by Robert L. Frome and published by . This book was released on 1975 with total page 368 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Regulation of Insider Trading written by Barry Alexander K. Rider and published by . This book was released on 1979 with total page 500 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Guide to Insider Reporting Under Section 16 a written by James Hamilton and published by CCH Incorporated. This book was released on 1999-01-01 with total page 113 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Some Aspects of Corporate Insider Stock Holdings and Trading Under Section 16 b of the Securities Exchange Act of 1934 written by Thomas Edward Driscoll and published by . This book was released on 1956 with total page 302 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulation written by Niels B. Schaumann and published by Gilbert. This book was released on 2002 with total page 658 pages. Available in PDF, EPUB and Kindle. Book excerpt: The topics covered in this outline are Securities and Exchange Commission, jurisdiction and interstate commerce, and the Securities Act of 1933 (including persons and property interest covered, registration statements, exemptions from registration requirements, and liabilities). Also discussed are the Securities Exchange Act of 1934 (including Rule 10b-5, tender offers and repurchases of stock, regulation of proxy solicitations, liability for short-swing profits on insider transactions, and S.E.C. enforcement actions), regulation of the securities markets, multinational transactions, and the state regulation of securities transactions.

Download or read book Managing the New Reporting and Liability Rules Under Section 16 of the Securities Exchange Act written by Brobeck, Phleger & Harrison and published by . This book was released on 1991 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Business Law I Essentials written by MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.) and published by . This book was released on 2019-09-27 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.