Wolters Kluwer Financial Services offers a full suite of resources to guide you through the complex, and ever-changing maze of federal securities regulations. Written by experts with industry-leading experience, these affordable and user-friendly titles offer forms, explanation and full-text reporting to help you understand and remain compliant with the gamut of SEC regulations that affect your business. Corporate Reporting, Sarbanes-Oxley, Commodity Futures Trading, Gramm-Leach-Bliley and more are included.
The Sarbanes-Oxley Manual, 2nd Edition is a comprehensive desk reference explaining the Sarbanes-Oxley Act and all related SEC rulemaking to date.
Building on the hugely successful title, Sarbanes-Oxley Act of 2002: Law and Explanation, this work delves further by discussing the multitude of ensuing rules, studies, and listing standards, and putting them all into perspective. The manual examines, among many other topics, the statutory and rule provisions governing: audit committees, auditor independence, certification of corporate reports, Section 16 insider reporting, Public Company Accounting Oversight Board composition and rules, attorney professional responsibility, analyst conflicts of interest, and management's assessment of internal controls. It also reproduces the full text of the Act.
This year's edition of the Commodity Exchange Act, Regulations and Forms, contains the full text of the Commodity Exchange Act and all amendments as of July 2006. This book also includes the rules, regulations and forms of the Commodity Futures Trading Commission and revisions thereto. The title is compiled from the Commodity Futures Law Reporter.
Provides analysis of an Act that not only overhauls the regulatory scheme for commodities exchanges, but also cuts across regulatory boundaries by amending securities and banking laws, as well as the financial services modernisation Gramm-Leach-Bliley Act, in order to address legal certainly for U.S. derivatives markets and to repeal the ban on trading single stock futures. The full text of the enacted law, H.R. 5660, is included, along with selected text of the Committee Report on H.R. 4541, the precursor bill to H.R. 5660.
Provides Commodity Exchange Act rules and statutes including the Commodity Futures Trading Act of 1974, as amended, and the Commodity Futures Modernisation Act of 2000. Contains 17 CFR Chapter 1 including: regulation of commodity pool operators and commodity trading advisers; contract market rules altered by the CFTC; exchanges procedures for disciplinary, summary and membership denial actions; rules of practice; rules relating to investigations and reparations proceedings; rulemaking procedures; suspension and disbarment from practice before the CFTC. Contains CFTC Releases.
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This global Internet database of securities laws and regulations from around the world is a must-have tool for any company or individual whose sphere of responsibility includes international securities compliance issues. With monthly updates to ensure currency, full-text laws and regulations for comprehensive coverage, and regulator-provided English translations to simplify use, it is clearly the most efficient, effective way to access this essential information.
This title provides detailed explanation of the SEC's new privacy rules, adopted pursuant to the Gramm-Leach-Bliley Act, for brokers-dealers, investment companies, and investment advisers. A must-have reference, it incorporates SEC interpretations of the rules, as well as practical guidance for compliance. The new privacy rules apply to all brokers, dealers, investment companies, and registered investment advisers, regardless of their firm size.
The 2007 SEC Handbook: Rules and Forms for Financial Statements and Related Disclosure, 17th Edition reproduces the latest official materials, as of December 2006, that govern the preparation of financial statements and related disclosures filed with the SEC. It includes the full-text of SEC rules, forms, interpretations and other materials that govern financial reporting and disclosure by public companies.
A perfect complement to the 2006 SEC Handbook: Rules and Forms for Financial Statements, this updated title offers an in-depth guide to the preparation of annual disclosure documents required by the Exchange Act and SEC regulations. Coverage focuses on issues related to Form 10-Ks, proxy statements and annual reports to shareholders, including recent developments as a result of the Sarbanes-Oxley Act of 2002.
Provides instant access to the full text of over 32,000 of the most significant documents from 1978 to the present. To cover late-breaking developments, Advance Releases are posted online daily. SEC No-Action Letters is invaluable to securities and management professionals in helping them prepare SEC filings and conduct research pertaining to securities regulations and compliance.
Each year, the SEC Corporate Finance Division responds to thousands of telephone inquiries concerning the statutes, rules and regulations it administers. SEC Telephone Interpretations Manual reproduces interpretations issued by the Division through January 2006, providing valuable, informal guidance in numerous areas of SEC regulation. A new chapter on Regulation AB and related rules features interpretations issued in December 2005. The existing proxy rules chapter includes interpretations of Rule 14a-4(a)(3) issued in the most recent Interim Supplement. The new edition also features history notes throughout, indicating when the SEC staff issued, modified and/or rescinded each particular interpretation.
Offers the six major laws governing the federal securities world: the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and the rules, regulations and forms enacted thereunder. This product also includes:
An essential guide to the vast body of federal securities laws and regulations, this resource offers comprehensive, yet concise, explanations that put it all in perspective. The Guide covers all the significant statutory provisions and SEC rules under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002. Particular subjects covered include securities registration, prospectuses, issuer reporting, proxies, tender offers, insider transactions, fraud liability, market regulation, broker-dealers, investment companies, investment advisers, accounting and auditing, attorney reporting, and privacy.
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