| Sarbanes-Oxley |
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| The Sarbanes-Oxley Act of 2002 (Act), generally applicable to publicly traded companies with registered securities and are subject to reporting requirements under federal law, specifically addresses the issue of whistleblower protection in a corporate context. The Act's employee whistleblower provision was modeled after other federal statutes containing whistleblower protections (for example, protections that apply to workers in the nuclear energy industry.
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| Securities Law |
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| (An Outline of Federal Securities Laws)More... |
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| Business & Corporate Entities> Corporations> Directors & Officers> Compensation & Qualifications |
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| (The Compensation Committee of Independent Directors forMore... |
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| Mediation of Securities Disputes |
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| Broker-dealer members of the National Association of Securities Dealers are required to arbitrate their disputes with investors. Also, the agreement signed by investors to trade through broker-dealers normally contains a provision requiring the investors to arbitrate their disputes with the broker-dealers rather than litigate such disputes. However, mediation is an additional method for resolving disputes that may be used prior to or in addition to mediation. More... |
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| An Introduction to the Securities Exchange Act of 1934 |
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| In response to the stock market crash of 1929, Congress enacted the Securities Act of 1933 and the Securities Exchange Act of 1934. While the Securities Act governed the issuance of securities, the Securities Exchange Act regulated trading in the securities. More... |
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