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Section 406 of the Tax Relief and Health Care Act of 2006 and Section 7623(b) of the Internal Revenue Code formally amended the IRS Whistleblower program. Under the amendments passed in 2006, a new set of rules and frameworks were established in order to evaluate informant submissions and to improve the efficiency of the program generally.
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
The institution was founded 1934 as the First Federal Savings and Loan of Glendale. [1] In 1982, the S&L promoted itself simply as "Glendale Federal", dropping the "Savings and Loan Association" from its advertising and self-referencing. [2] In 1983, the S&L changed from a mutual organization to a federal stock form of organization.
GFI Group Inc. (GFI) is a financial services company that through its subsidiaries provides brokerage services, trade execution, market data, trading platforms and other software products. Clients are institutional customers in markets for a range of fixed income , financial , equity and commodity instruments.
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Four years later, in 1987, Plaut—alongside other investors—filed suit against Spendthrift Farm, thereby launching a class action lawsuit over securities fraud in federal court. Section 10(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. § 78j ) was the provision of law which served as the basis for this part of their lawsuit.
Form D is a SEC filing form to file a notice of an exempt offering of securities under Regulation D of the U.S. Securities and Exchange Commission.Commission rules require the notice to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504 or 506 of Regulation D or Section 4(6 ...