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...Page 61440. occur pursuant to U.S. Code Title 40 Section 8124 (40 U.S.C. 8124), which authorizes tr...
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... can be requested at NCPC's offices at 401 9th Street, NW., Suite 500, Washington, DC 20009. ...8124(a), except where such transfers or jurisdiction co...
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...42 Pa.Cons.Stat. § 8124(c)(7) (1998) (emphasis added). We conclude, as did...3 (1995). That statute, Pa.Stat.Ann. tit. 40, § 117 (West 1992), prevents insurers in Pennsylv...
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Section 501(a) of Sarbanes-Oxley and Regulation AC require securities analysts to disclose conflicts of interest associated with research reports. It is unlikely that courts will imply a private right of action in section 501(a) or Regulation AC; thus, investors will not be allowed to individually sue their analysts who have failed to disclose a conflict of interest. Yet, as professionals, securities analysts play an essential role in ensuring that their investor clients are not defrauded by misleading reports about the prospects of publicly traded companies. Investor confidence in the stock market rests heavily on the perception that analysts are either making fair recommendations free of external influence or allowing investors to view their recommendations in light of their disclosed...
...40 . 1. Express Private Rights of Action. To enforce ...8124, which establish rules for company officers regard...
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...v. Moody, 422 U.S. 405, 414, n. 8 (1975). Had Congress meant to eliminate...Bartlett and Sen. Curtis); id., at 8124 (remarks of Sen. Bartlett). See also id., at 4606 ...
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...Audit Committee Financial Expert . Section 407(a) of the Sarbanes-Oxley Act directs the SEC to is...8124, Exchange Act Release No. 46427, Investment Compan...
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...Subpart E (Sec. Sec. 10.400 through 10.441) also is largely unchanged. Of the ...8124(b). Pre-recoupment hearings shall. Page 49626 . b...
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...See, e.g., Securities Act Release Nos. 8124. (August 28, 2002), 67 FR 57276 (September 9, 2002... and general advertising, are satisfied.\40\. \37\ In addition, if the offer or sale of a secu...
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... of this title, and section 461 of former Title 40, Public Buildings, Property, and Works, and enacti...-3 of Title 12, repealing sections 8121 to 8124 of this title and section 461 of former Title 40, ...