Final Rule: Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports and Other Aspects

Topics:
Investor Relations
Tags:
Certification,
Financial Services,
Investment Company,
Shareholder
Source:
U.S. Securities and Exchange Commission

FREE Registration is required

Overview: The Securities and Exchange Commission is adopting rule and form amendments that require registered management investment companies to file certified shareholder reports on Form N-CSR with the Commission, and designating these certified reports as reports that are required under Sections 13(a) and 15(d) of the Securities Exchange Act of 1934 and Section 30 of the Investment Company Act of 1940. The amendments require each registered management investment company's principal executive and financial officers to certify the information contained in these reports in the manner specified by Section 302 of the Sarbanes-Oxley Act of 2002. Form N-SAR will be filed under the Investment Company Act of 1940 only and not the Securities Exchange Act of 1934. Efforts have also been made in removing the requirement that Form N-SAR be certified by a registered investment company's principal executive and financial officers. All these have been discussed in detail in the article.

(Is this item miscategorized? Does it need more tags? Let us know.)

Format: HTML | Date: Jan 2003 | Pages: 1

People who downloaded this item also downloaded

White Paper Certification of Registered Investment Company Annual and Semi-Annual Reports
White Paper Readiness for SEC Timely Filing Requirements

Top results from Investor Relations

White Paper Self-Service That Really Serves
White Paper Rule Enabling Applications With Oracle Business Rules
White Paper Improper Influence On Conduct Of Audit
White Paper SEC Final Rules On Management's Reports On Internal Control Over Financial Reporting
White Paper Corporate Governance Guidelines-Merrill Lynch & Co., Inc.

» View all Investor Relations listings

advertisement
advertisement
  • Click Here
  • Click Here
  • Click Here
advertisement

Returning users: Log In Here!

Already registered on BNET, TechRepublic, or ZDNet? Simply log in.

Free Membership: Sign Up Now!

Sign up for a free membership today and get instant and unlimited access to one of the largest databases of white papers, webcasts, and casestudies anywhere. Your FREE membership allows you to:

  • Download an unlimited amount of content, including classic and current white papers, case studies, webcasts and more
  • Track content on your chosen topics of interest
  • Receive targeted email alerts when your favorite content is added
  • Save content for future reading
  • Receive our member newsletter

When you register to access this directory, you become a member of BNET. In addition, you allow us to share your information with companies that produce products or services featured in the library--so that such companies may contact you with information and offers regarding their products and services. This enables us to keep the library a free service. As a directory registrant, you will receive a complimentary subscription to the BNET member newsletter, The BNET Report. You can unsubscribe from this newsletter at any time. By clicking the Sign up button, you indicate that you agree to our Terms and Conditions and have read and understand our Privacy Policy (updated).