Section 404 of the Sarbanes-Oxley Act of 2002 (Management Assessment of Internal Controls): Current Regulation and Congressional Concerns

Section 404 of the Sarbanes-Oxley Act of 2002 (Management Assessment of Internal Controls): Current Regulation and Congressional Concerns

Date: July 21, 2010
Creator: Seitzinger, Michael V.
Description: This report discusses Section 404 of the Sarbanes-Oxley Act of 2002, which requires the Securities and Exchange Commission (SEC) to issue rules requiring annual reports filed by reporting issuers to state the responsibility of management for establishing and maintaining an adequate internal control structure and procedures for financial reporting and for each accounting firm auditing the issuer's annual report to attest to the assessment made of the internal accounting procedures made by the issuer's management.
Contributing Partner: UNT Libraries Government Documents Department
The Dodd-Frank Wall Street Reform and Consumer Protection Act: Executive Compensation

The Dodd-Frank Wall Street Reform and Consumer Protection Act: Executive Compensation

Date: July 21, 2010
Creator: Seitzinger, Michael V.
Description: This report discusses the Dodd-Frank Wall Street Reform and Consumer Protection Act (H.R. 4173), which was implemented as part of financial regulatory reform initiatives undertaken by Congress in light of the recent global economic crisis. The legislation focuses on executive compensation.
Contributing Partner: UNT Libraries Government Documents Department
Securities Fraud Class Action Certification: Halliburton Co. v. Erica P. John Fund, Inc.

Securities Fraud Class Action Certification: Halliburton Co. v. Erica P. John Fund, Inc.

Date: August 15, 2014
Creator: Seitzinger, Michael V.
Description: This report discusses requirements for securities fraud class action certification. The report also specifically examines each of the decisions made in the Halliburton cases, which proceeded through two complete rounds in federal district court, court of appeals, and the Supreme Court.
Contributing Partner: UNT Libraries Government Documents Department
Conducting Foreign Relations Without Authority: The Logan Act

Conducting Foreign Relations Without Authority: The Logan Act

Date: January 20, 2010
Creator: Seitzinger, Michael V.
Description: This report discusses the Logan Act, which was intended to prohibit United States citizens without authority from interfering in relations between the United States and foreign governments.
Contributing Partner: UNT Libraries Government Documents Department
Conducting Foreign Relations Without Authority: The Logan Act

Conducting Foreign Relations Without Authority: The Logan Act

Date: March 11, 2015
Creator: Seitzinger, Michael V.
Description: This report discusses the Logan Act, which was intended to prohibit United States citizens without authority from interfering in relations between the United States and foreign governments. There has been renewed interest in the Logan Act in 2015 as the result of a letter signed by 47 U.S. Senators to Iran suggesting that negotiations about a nuclear deal between the President and the Iranian leadership would be an executive agreement that another President or Congress would be able to abrogate.
Contributing Partner: UNT Libraries Government Documents Department
Foreign Investment in the United States: Major Federal Statutory Restrictions

Foreign Investment in the United States: Major Federal Statutory Restrictions

Date: June 7, 2013
Creator: Seitzinger, Michael V.
Description: Report that takes a look at some of the major federal statutes which presently restrict investment by foreigners.
Contributing Partner: UNT Libraries Government Documents Department
Foreign Corrupt Practices Act (FCPA): Congressional Interest and Executive Enforcement

Foreign Corrupt Practices Act (FCPA): Congressional Interest and Executive Enforcement

Date: October 21, 2010
Creator: Seitzinger, Michael V.
Description: This report briefly discusses the Foreign Corrupt Practice Act of 1977 (FCPA), which was intended to prevent corporate bribery of foreign officials. Criticisms of the act's operation and scope began almost immediately after its passage and have continued. This report discusses these criticisms.
Contributing Partner: UNT Libraries Government Documents Department
The Dodd-Frank Wall Street Reform and Consumer Protection Act: Executive Compensation

The Dodd-Frank Wall Street Reform and Consumer Protection Act: Executive Compensation

Date: November 9, 2010
Creator: Seitzinger, Michael V.
Description: This report discusses the Dodd-Frank Wall Street Reform and Consumer Protection Act (H.R. 4173), which was implemented as part of financial regulatory reform initiatives undertaken by Congress in light of the recent global economic crisis. The legislation focuses on executive compensation.
Contributing Partner: UNT Libraries Government Documents Department
Federal Securities Law: Insider Trading

Federal Securities Law: Insider Trading

Date: June 1, 2015
Creator: Seitzinger, Michael V.
Description: Insider trading in securities may occur when a person in possession of material nonpublic information about a company trades in the company's securities and makes a profit or avoids a loss. This report discusses various regulations regarding insider trading violations.
Contributing Partner: UNT Libraries Government Documents Department
Conflict Minerals and Resource Extraction: Dodd-Frank, SEC Regulations, and Legal Challenges

Conflict Minerals and Resource Extraction: Dodd-Frank, SEC Regulations, and Legal Challenges

Date: December 2, 2014
Creator: Seitzinger, Michael V. & Ruane, Kathleen Ann
Description: This report discusses the two sections of the Dodd-Frank Wall Street Reform and Protection Act (Dodd-Frank) that require the Securities and Exchange Commission (SEC or Commission) to issue regulations to make public the involvement of U.S. companies in conflict minerals and in resource extraction payments.
Contributing Partner: UNT Libraries Government Documents Department
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