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SEC May Sue Business Objects
News On Wednesday, Business Objects said that it received a "Wells notice" from the SEC, indicating that the SEC is recommending charges against the company. In a statement, the company said it believes that the SEC complaint relates to the fact that...
[August 5, 2004, 10:00]
SEC To Broaden HP Inquiry
News HP has received an additional inquiry from the Securities and Exchange Commission (SEC) regarding both the company's leak probe disclosure and its handling of the resignation of board member Tom Perkins, the company said on Thursday.
[September 22, 2006, 17:20]
SEC Probe Holds Up Dell Quarterly Report
News Issues raised by a US Securities and Exchange Commission (SEC) probe have led Dell to delay filing its quarterly earnings report and could mean that it will have to restate financial results. Computer maker Dell announced the SEC investigation in...
[September 12, 2006, 9:45]
SEC Raises Tensions At The Googleplex
News But securities lawyers said the stock sale disclosures stem from an SEC rule regarding the sale or purchase of securities outside of a public offering. Since its August IPO, Google has filed documents with the Securities and Exchange Commission...
[January 10, 2005, 13:20]
SEC's Latest Proposed Rules Under Sarbanes-Oxley
White Papers Securities and Exchange Commission has released several proposed rules (for 30-day comment periods) that are required to be adopted by the SEC under the U.S. S-Ox requires the SEC to adopt many of these rules by January 26, 2003, but some of them...
[March 23, 2005, 23:00]
SEC 17 A-4(f) Compliance Assessment: Quantum Corporation DLTIce Worm Tape
White Papers This paper presents an independent assessment by Cohasset Associates regarding the ability of Quantum's DLTIce magnetic tape storage solution to meet the requirements set forth in SEC Rule 17a-4(f). It is clearly stated in the Securities and...
[September 27, 2005, 0:00]
SEC Clamps Down On Spammers And Hackers
News The Securities and Exchange Commission (SEC) suspended trading on Thursday in the securities of 35 companies that were heavily promoted in spam email campaigns, it said in a statement. Earlier in the week the SEC won an emergency court order...
[March 9, 2007, 8:07]
Network Content Monitoring For SEC Regulatory Compliance
White Papers The objective of this White Paper is to communicate how implementing effective network content monitoring can help compliance with regulations, such as Rule 240.17a-3 and 4 of the Securities Exchange Act of 1934 that is enforced by the Securities...
[September 27, 2005, 0:00]
EDS Shares Drop As SEC Probe Deepens
News Late Friday, the computer services giant said the SEC's informal inquiry into its stock-hedging efforts has become a formal investigation. The SEC is also investigating the events leading up to the company's dramatically reduced earnings forecast...
[January 22, 2003, 8:17]
AOL Shares Hit By SEC Concerns
News In a bevy of research notes, Wall Street analysts worried about the outcome of the SEC probe and panned the sluggish performance of the corporation's America Online unit. Immediately following its earnings announcement on Wednesday, AOL Time Warner...
[July 26, 2002, 10:31]
Update: Internal Control Reports Under Section 404 Of S-Ox - Auditing Standard Finalized And FAQs Published By SEC
White Papers SEC rules require the management of public companies to prepare an annual report on internal control over financial reporting and further require the external auditor to attest to management's conclusions about the effectiveness of the internal...
[March 23, 2005, 23:00]
Adaptec, Seagate Plot Ultra2 SCSI 80Mb/sec Raid
News Adaptec and Seagate will early in February take the wrapping off Ultra2 SCSI, a backwards-compatible extension of SCSI-3 that takes the storage drive interconnect technology to an 80Mb/sec bandwidth in "wide" 16-bit mode.
[January 28, 1998, 14:26]
PCP Puts 10/100 Mbits/sec On PC Card
News Made by Silicom, the card can switch between 10Mbits/sec and 100Mbits/sec speeds and uses a single RJ-45 connector. The list price is £199 + VAT. PPCP can be contacted by telephone on 0181-8932277.
[September 12, 1996, 16:17]
Ongoing SEC Investigations May Hit 'serious' Problems
News A spokeswoman for the SEC said it was to early to tell what the impact would be on ongoing investigations. She did say that the SEC has backups of electronic data, however. There, of course, will be substantial loss in paperwork and computer...
[September 13, 2001, 16:36]
IBM Shares Fall On SEC Worries
News The US Securities and Exchange Commission has started a new investigation of IBM's accounting practices, according to a report from private research firm SEC Insight. In a report published on Thursday, SEC Insight said the SEC has started a...
[April 12, 2002, 7:31]
Google Discloses Playboy Text To SEC
News The search giant, which expects to price its IPO next week and which could begin trading on the open market shortly thereafter, may encounter a delay should the SEC want a "cooling off" period. However, if our involvement were held by a court to be...
[August 13, 2004, 15:45]
SEC To Broaden HP Inquiry
Talkback Kevin Hunsaker, HP's Chief Ethics Officer I'm sure is aware of regulations like SEC rules, GLBA and SOX http://www.essentialsecurity.com/admin/App_upload/FinancialWPfinal.pdf. Faking, changing, altering company documents all bad.
[September 22, 2006, 19:41]
Google Still Waiting For SEC Approval
News Bidding for the shares began Friday and was set to close this afternoon, when Google had asked the SEC to declare its registration effective. But any delay by the SEC could alter the timing. On Monday, the company notified investors that the SEC...
[August 18, 2004, 8:45]
Case Study: Investment Management Firm Implements Permeon To Comply With SEC Regulations
White Papers The subject of this case study, a midtier investment management fund ("the firm"), faced the challenge of meeting SEC 17a-4 regulations, which establish retention policies for brokers, dealers, and Exchange members.
[September 15, 2005, 0:00]
Compensation The Key For SEC "Push-Out" Rules
White Papers After GLBA's passage, the banking industry anxiously awaited the SEC rules which would flesh out the meaning and requirements of the Bank Broker Exemptions. The SEC staff issuance of interim final rules in May 2001 ("2001 Rules"), however, created...
[September 27, 2005, 0:00]
