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2002年萨班斯-奥克斯利法案 中英文对照2025|PDF|Epub|mobi|kindle电子书版本百度云盘下载
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- ZETA-CIA研究中心译 著
- 出版社: 北京:法律出版社
- ISBN:7503650001
- 出版时间:2004
- 标注页数:200页
- 文件大小:6MB
- 文件页数:216页
- 主题词:证券法-法案-美国-汉、英
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图书目录
TABLE OF CONTENTS目录Sec.1.Short title;table of contents.第1条 短标题;目录2
Sec.2.Definitions.第2条 定义2
Sec.3.Commission rules and enforcement.第3条 SEC规则及执行9
TITLE Ⅰ-PUBLIC COMPANYACCOUNTING OVERSIGHT BOARD第一编 公众公司会计监管委员会Sec.101.Establishment;administrative provisions.第101条 组建;管理条款13
Sec.102.Registration with the Board.第102条 在委员会注册23
Sec.103.Auditing,quality control,and independencestandards and rules第103条 审计、质量控制和独立性准则与规则28
Sec.104.Inspections of registered public accounting firms.第104条 对在册会计师事务所的审查34
Sec.105.Investigations and disciplinary proceedings.第105条 调查和惩戒程序40
Sec.106.Foreign public accounting firms.第106条 外国会计师事务所55
Sec.107.Commission oversight of the Board.第107条 SEC对委员会的监管58
Sec.108.Accounting standards.第108条 会计准则66
Sec.109.Funding.第109条 资金70
TITLE Ⅱ-AUDITORINDEPENDENCE第二编 审计师独立性Sec.201.Services outside the scope of practice of auditors.第201条 审计师执业范围之外的服务77
Sec.202.Preapproval requirements.第202条 预准要求79
Sec.203.Audit partner rotation.第203条 审计合伙人的轮换82
Sec.204.Auditor reports to audit committees.第204条 审计师向审计委员会报告83
Sec.205.Conforming amendments.第205条 一致性修订84
Sec.206.Conflicts of interest.第206条 利益冲突87
Sec.207.Study of mandatory rotation of registered publicaccounting firms.第207条 对在册会计师事务所法定轮换的调查88
Sec.208.Commission authority.第208条 SEC权限89
Sec.209.Considerations by appropriate State regulatory authorities.第209条 相关州监管机构的考虑89
TITLE Ⅲ-CORPORATERESPONSIBILITY第三编 公司责任Sec.301.Publiccompany audit committees.第301条 公众公司审计委员会91
Sec.302.Corporate responsibility for financial reports.第302条 公司对财务报告的责任94
Sec.303.Improper influence on conduct of audits.第303条 对审计工作的不当影响98
Sec.304.Forfeiture of certain bonuses and profits.第304条 某些奖金和利润的丧失99
Sec.305.Officer and director bars and penalties.第305条 对于公司负责人和董事的禁止和处罚100
Sec.306.Insider trades during pension fund blackout periods.第306条 养老基金限制交易期间的内部人交易101
Sec.307.Rules of professional responsibility for attorneys.第307条 关于律师执业责任的规则116
Sec.308.Fair funds for investors.第308条 投资者公平基金117
TITLE Ⅳ-ENHANCEDFINANCIAL DISCLOSURES第四编 强化财务信息披露Sec.401.Disclosures in periodic reports.第401条 定期报告中的信息披露121
Sec.402.Enhaned conflict of interest provisions.第402条 强化的利益冲突条款125
Sec.403.Disclosures of transactions involving management andprincipal stockholders.第403条 涉及管理层和主要股东交易的信息披露128
Sec.404.Management assessment of internal controls.第404条 管理层对内部控制的评价131
Sec.406.Code of ethics for senior financial officers.第406条 高级财务负责人的职业操守132
Sec.405.Exemption.第405条 免责条款132
Sec.407.Disclosure of audit committee financial expert.第407条 关于审计委员会财务专家情况的信息披露134
Sec.408.Enhanced review of periodic disclosures by issuers.第408条 强化对发行人定期信息披露的复核136
Sec.409.Real time issuer disclosures.第409条 发行人实时信息披露138
TITLE Ⅴ-ANALYSTCONFLICTS OF INTEREST第五编 分析师的利益冲突Sec.501.Treatment of securities analysts by registered securitiesassociations and national securities exchanges.第501条 在册证券业协会和全国性证券交易所对证券分析师的管理139
TITLE Ⅵ-COMMISSIONRESOURCES AND AUTHORITY第六编 SEC的资源和权限Sec.601.Authorization of appropriations.第601条 拨款的批准146
Sec.602.Appearance and practice before the Commission.第602条 在SEC前的执业资格147
Sec.603.Federal court authority to impose penny stock bars.第603条 发布低价股票禁令的联邦法院权限149
Sec.604.Qualifications of associated persons of brokers anddealers.第604条 证券经纪和券商关联人员的资格152
TITLE Ⅶ-STUDIES AND REPORTS第七编 研究和报告Sec.701.GAO study and report regarding consolidation ofpublic accounting finns.第701条 美国审计总署关于会计师事务所合并的研究和报告157
Sec.702.Commission study and report regarding credit ratingagencies.第702条 SEC关于信用评级机构的研究和报告159
Sec.703.Study and report on violators and violations第703条 对违法者和违法行为的研究和报告161
Sec.704.Study of enforcement actions.第704条 对强制措施的研究164
Sec.705.Study of investment banks.第705条 对投资银行的研究165
TITLE Ⅷ-CORPORATE ANDCRIMINAL FRAUD ACCOUNTABILITY第八编 公司和刑事欺诈责任Sec.801.Short title.第801条 短标题167
Sec.802.Criminal penalties for altering documents.第802条 篡改文档的刑事处罚167
Sec.803.Debts nondischargeable if incurred in violation ofsecurities fraud laws.第803条 违反证券欺诈法律所发生的无法偿还的债务170
Sec.804.Statute of limitations for securities fraud.第804条 证券欺诈的诉讼时效171
Sec.805.Review of Federal Sentencing Guidelines for obstructionof justice and extensive criminal fraud.第805条 对于妨碍司法和严重刑事欺诈行为的联邦量刑指导方针的复核173
Sec.806.Protection for employees of publicly traded companieswho provide evidence of fraud.第806条 对提供欺诈证据的公众公司雇员的保护175
Sec.807.Criminal penalties for defrauding shareholders ofpublicly traded companies.第807条 对欺骗公众公司股东行为的刑事处罚180
TITLE Ⅸ-WHITE-COLLARCRIME PENALTY ENHANCEMENTS第九编 加重白领犯罪处罚Sec.901.Short title.第901条 短标题182
Sec.902.Attempts and conspiracies to commit criminal fraudoffenses.第902条 图谋和共谋进行刑事欺诈犯罪182
Sec.903.Criminal penalties for mail and wire fraud.第903条 信件和电传欺诈的刑事处罚183
Sec.904.Criminal penalties for violations of the EmployeeRetirement Income Security Act of 1974.第904条 对违反《1974年雇员退休收入保障法案》的刑事处罚183
Sec.905.Amendment to sentencing guidelines relating to certainwhite-collar offenses.第905条 对特定白领犯罪量刑指导方针的修订184
Sec.906.Corporate responsibility for financial reports.第906条 公司对财务报告的责任186
TITLE Ⅹ-CORPORATE TAX RETURNS第十编 公司纳税申报表Sec.1001.Sense of the Senate regarding the signing of corporatetax returns by chief executive officers.第1001条 参议院对首席执行官签署公司纳税申报表的意见189
TITLE Ⅺ-CORPORATEFRAUD AND ACCOUNTABILITY第十一编 公司欺诈和责任Sec.1101.Short title.第1101条 短标题190
Sec.1102.Tampering with a record or otherwise impeding anofficial proceeding.第1102条 篡改记录或妨碍官方程序190
Sec.1103.Temporary freeze authority for the Securities andExchange Commission.第1103条 SEC的暂时冻结权限191
Sec.1104.Amendment to the Federal Sentencing Guidelines.第1104条 对联邦量刑指导方针的修订194
Sec.1105.Authority of the Commission to prohibit persons fromserving as officers or directors.第1105条 SEC禁止某人担任负责人或董事的权限197
Sec.1106.Increased criminal penalties under SecuritiesExchange Act of 1934.第1106条 加重《1934年证券交易法》的刑事处罚199
Sec.1107.Retaliation against informants.第1107条 对提供情况者的报复199
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