Author: Peter J. Romeo
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 268
Book Description
Insider Reporting and Liability Under Section 16 of the Securities Exchange Act of 1934
Author: Peter J. Romeo
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 268
Book Description
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 268
Book Description
Guide to Section 16
Author: James Hamilton
Publisher: Cch Incorporated
ISBN: 9780808011040
Category : Business & Economics
Languages : en
Pages : 164
Book Description
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.
Publisher: Cch Incorporated
ISBN: 9780808011040
Category : Business & Economics
Languages : en
Pages : 164
Book Description
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.
Section 16 Reporting Guide
Author: Peter J. Romeo
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 674
Book Description
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 674
Book Description
A Practical Guide to Section 16
Author: Stanton P. Eigenbrodt
Publisher: Wolters Kluwer
ISBN: 0735541124
Category : Business & Economics
Languages : en
Pages : 761
Book Description
Refers to Section 16 of the Securities Exchange Act of 1934.
Publisher: Wolters Kluwer
ISBN: 0735541124
Category : Business & Economics
Languages : en
Pages : 761
Book Description
Refers to Section 16 of the Securities Exchange Act of 1934.
Insider Reporting and Short-swing Trading
Author: Commerce Clearing House
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 254
Book Description
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 254
Book Description
Guide to Insider Reporting Under Section 16(a)
Author: James Hamilton
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 87
Book Description
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 87
Book Description
Protection of the Market
Author: Jose Luis Letelier
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 236
Book Description
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 236
Book Description
A Practical Guide to Section 16
Author: Amy L. Goodman
Publisher: Aspen Publishers
ISBN:
Category : Disclosure of information
Languages : en
Pages : 628
Book Description
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.
Publisher: Aspen Publishers
ISBN:
Category : Disclosure of information
Languages : en
Pages : 628
Book Description
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.
Guide to Insider Reporting Under Section 16(a)
Author: James Hamilton
Publisher: CCH Incorporated
ISBN: 9780808003816
Category : Insider trading in securities
Languages : en
Pages : 113
Book Description
Publisher: CCH Incorporated
ISBN: 9780808003816
Category : Insider trading in securities
Languages : en
Pages : 113
Book Description
Managing the New Reporting and Liability Rules Under Section 16 of the Securities Exchange Act
Author: Brobeck, Phleger & Harrison
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages :
Book Description
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages :
Book Description