Academic literature on the topic 'SEC Regulations'
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Journal articles on the topic "SEC Regulations"
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Kaya, Halil D. "Regulations and the characteristics of entrepreneurs." SocioEconomic Challenges 6, no. 3 (2022): 80–96. http://dx.doi.org/10.21272/sec.6(3).80-96.2022.
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In this study, we examine whether different types of regulations affect the composition of small business owners in U.S. states. We employ a national survey titled the “United States Small Business Friendliness Survey”. This survey asks small business owners their opinions on different types of regulations (i.e. “health and safety regulations”, “employment regulations”, “tax code”, “licensing regulations”, “environmental regulations”, and “zoning regulations”). The survey also asks business owners questions on their own characteristics like “position in the firm”, “previous entrepreneurial experience”, “gender”, “age”, “political view”, “education level”, and “race”. Our results show that each regulation category affects almost all categories of owner characteristics. The exceptions are the following: “Health and safety regulations” do not affect position in the firm, “employment regulations” do not affect gender and age, “tax code” does not affect position in the firm and age, “licensing regulations” and “environmental regulations” do not affect position in the firm and gender, and “zoning regulations” do not affect position in the firm, previous experience, and gender. “Health and safety regulations” affect gender, age, political view, education level, and race. “Employment regulations” affect previous entrepreneurial experience, political view, education level, and race. “Tax code” affects previous entrepreneurial experience, gender, political view, education level, and race. “Licensing regulations” affect previous entrepreneurial experience, age, political view, education level, and race. “Environmental regulations” affect previous entrepreneurial experience, age, political view, education level, and race. “Zoning regulations” affect age, political view, education level, and race. Overall, our findings indicate that regulations affect the geographical choice of entrepreneurs. The states with a more favorable score in a certain area of regulation attract a certain group of entrepreneurs. Policymakers should consider these findings when devising their strategies to attract certain types of entrepreneurs to their states.
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Bouchie, Aaron. "New SEC regulations could hinder biotech investment." Nature Biotechnology 20, no. 7 (July 2002): 639–40. http://dx.doi.org/10.1038/nbt0702-639b.
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Mahoney, Paul. "Equity Market Structure Regulation: Time to Start Over." Michigan Business & Entrepreneurial Law Review, no. 10.1 (2021): 1. http://dx.doi.org/10.36639/mbelr.10.1.equity.
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Over the past half-century, the U.S. Securities and Exchange Commission (SEC)’s regulations have become key determinants of the way in which stocks trade and the fees that exchanges charge for their services. The current equity market structure rules are contained primarily in the SEC’s Regulation NMS. The theory behind Regulation NMS is that a system of dispersed markets operating pursuant to SEC-mandated information and order routing links will provide the benefits of consolidation and competition simultaneously. This article argues that Regulation NMS has failed in that quest. It has produced fragmented markets and created questionable incentives for market participants, possibly producing socially excessive investments in trading speed and secrecy. It also discourages exchange innovation, provides insufficient incentives for traders to price orders aggressively, requires brokers to act against their customers’ interests, and forces the SEC to act as a price regulator. The article contends that the SEC should replace Regulation NMS with three simple design principles—issuer choice, exchange autonomy, and regulatory consistency. These would allow market forces, rather than regulatory mandates, to determine the design and pricing of trading platforms and the trading strategies of broker-dealers. They would better align the private incentives of trading platforms with the social objectives of improving liquidity and price discovery.
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Halil D. Kaya, Halil D. Kaya. "The global crisis, manufacturing firms, regulations and taxes." SocioEconomic Challenges 6, no. 4 (2022): 1–7. http://dx.doi.org/10.21272/sec.6(4).1-7.2022.
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In this study, we focus on how regulations and taxes affect manufacturing firms in Eastern Europe and Central Asia. We examine whether overall regulations became a bigger obstacle to these firms after the 2008-2009 Global crisis. We also examine whether tax inspections became a bigger obstacle after the Global crisis. Besides regulations and tax inspections, we also look into the prevalence of corruption related to tax officials before and after the Global crisis. Using two large datasets (i.e. the BEEPS IV and BEEPS V surveys), we are able to compare the pre-crisis period to the post-crisis period. Our results show that, in this region, post-crisis, senior managers spent more time on dealing with overall regulations which includes tax-related regulations and other types of regulations. Therefore, we can conclude that, post-crisis, regulations became a bigger obstacle to manufacturing firms’ operations. We also find that, post-crisis, there was a significant drop in the percentage of firms that had inspections or meetings with tax officials. Also, post-crisis, each firm on average, had fewer inspections or meetings with tax officials. Therefore, while overall regulations became a bigger obstacle to these firms, tax inspections became a smaller problem. When we examine corruption, we find that there was no significant change in the prevalence of bribes related to tax officials. Before and after the Global crisis, a similar percentage (8-9%) of manufacturing firms had to deal with bribe requests by tax officials. Future studies may focus on other types of regulations which include employment regulations, health and safety regulations, licensing regulations, environmental regulations, and zoning regulations, and the corruption related to these regulations.
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Robinson, John R., Yanfeng Xue, and Yong Yu. "Determinants of Disclosure Noncompliance and the Effect of the SEC Review: Evidence from the 2006 Mandated Compensation Disclosure Regulations." Accounting Review 86, no. 4 (April 1, 2011): 1415–44. http://dx.doi.org/10.2308/accr-10033.
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ABSTRACT We investigate the economic forces that influence noncompliance with mandatory compensation disclosures and the effect of a subsequent focused enforcement action. We utilize SEC evaluations of compensation disclosures mandated by rules adopted in 2006 to examine whether noncompliance is associated with excess CEO compensation, proprietary costs, or previous media attention. We further test whether subsequent CEO compensation declines after the SEC publicly identifies noncompliance. We construct measures of defective disclosures from SEC critiques and find that disclosure defects are positively associated with excess CEO compensation and media criticism of CEO compensation during the previous year. We find no evidence supporting the contention that compensation disclosure defects are associated with proprietary costs. Furthermore, we are unable to document that the level of disclosure defects identified by the SEC is associated with a reduction in excess CEO compensation in the subsequent year. Data Availability: Data are available from public sources identified in the paper. JEL Classifications: M52, G32, G38.
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Johnson, Christopher. "Audience Participation: Crowdfunding Large Scale Theatrical Productions Through Regulation A+." Michigan Business & Entrepreneurial Law Review, no. 6.1 (2016): 61. http://dx.doi.org/10.36639/mbelr.6.1.audience.
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Theatrical financing has been conducted in much the same way for the better part of a century. This method, however, has consistently provided only the shows with access to the deepest of pockets a path to Broadway. The advent of Internet-based crowdfunding provides producers access to a potential source of capital that was previously unavailable. Prior to the promulgation of the SEC regulations regarding Title IV of the JOBS Act, this capital could only be accessed through donation or reward based financing campaigns, but with the introduction of Regulation A+, there is finally a practical method for the widespread solicitation of investors for theatrical productions. This comment explores the realities of theatrical financing as well as the associated regulations regarding the sale of these sorts of securities. Part I will describe the background of theatrical financing and the governing regulations, and will highlight the restrictions faced by theatrical producers under the current framework. Part II will set forth the specifics of Regulation A+ and asserts that this framework for equity crowdfunding is particularly well suited to the unique aspects of theatrical financing. Part III will address potential shortcomings and objections to this assertion.
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Bondi, Bradley J., Charles A. Gilman, Kimberly C. Petillo-Décossard, John J. Schuster, and Sara Ortiz. "SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme." Journal of Investment Compliance 18, no. 3 (September 4, 2017): 41–43. http://dx.doi.org/10.1108/joic-06-2017-0032.
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Purpose To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting. Design/methodology/approach This article explores the factual and legal contours of a specific SEC administrative proceeding to better understand the affirmative steps the Commission expects of financial service providers as it relates to AML activities and reporting. Findings Given the SEC’s current enforcement focus, it is critical that financial institutions conduct their activities with a clear understanding of the AML regulations, investigatory expectations and related reporting requirements associated with the provision of brokerage and advisory services to US clients and customers. Originality/value This article highlights the SEC’s continuing interest in broker-dealer AML policies and compliance and provides analysis from experienced lawyers with expertise in financial services, securities and white collar crime.
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Burns, James R., James E. Anderson, Kimberly Beattie Saunders, and Charles F. Gyer. "SEC shortens standard settlement cycle to T+2." Journal of Investment Compliance 18, no. 3 (September 4, 2017): 11–15. http://dx.doi.org/10.1108/joic-06-2017-0028.
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Purpose To describe the steps taken by the SEC to shorten the standard settlement cycle for most broker-dealer transactions from three business days to two business days after the trade date. Design/methodology/approach Provides insight into a recent area of focus for SEC regulators and describe the SEC’s efforts to improve the efficiency of and reduce risks associated with the US national clearance and settlement system. Findings Industry participants must continue to work toward an migration date from T+3 to T+2 on September 5, 2017. In addition, numerous corresponding rule changes have been made or are expected across other regulatory regimes, including other federal regulators and self-regulatory organizations. Industry participants should monitor communications from these organizations closely for guidance about regulatory updates related to T+2. Originality/value Practical regulatory guidance regarding SEC operational requirements for the US national clearance and settlement system and the impact on related SEC regulations from experienced securities lawyers.
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Robock, Zachary. "The Risk of Money Laundering Through Crowdfunding: A Funding Portal's Guide to Compliance and Crime Fighting." Michigan Business & Entrepreneurial Law Review, no. 4.1 (2014): 113. http://dx.doi.org/10.36639/mbelr.4.1.risk.
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With the recent passage of the Jumpstart Our Business Startups Act (“JOBS Act”) and proposed regulations, equity crowdfunding is poised to play an important role in fundraising for many types of emerging growth companies. A fundamental purpose of crowdfunding is to reduce economic barriers to capital markets for emerging growth companies, in part by relaxing rigorous information disclosure requirements currently mandated by the Securities and Exchange Commission (“SEC”). Relaxed regulation should help reduce the cost of fundraising, but it will also present certain risks. Investor fraud is a common concern, which is addressed at length in the JOBS Act and related regulation. Perhaps less obvious, but nonetheless present, is the risk of money laundering, which is the subject of this Note.
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Nicholas, Phil. "The Agency That Kept Going: The Late New Deal SEC and Shareholder Democracy." Journal of Policy History 16, no. 3 (July 2004): 212–38. http://dx.doi.org/10.1353/jph.2004.0017.
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Discussions of New Deal policymaking suggest that many reforms were enacted from 1933 to 1937, but after this the New Deal ended. Although this analysis provides a generally accurate portrayal of presidential-congressional power relations, it overlooks the ability of some federal agencies to advance policies opposed by political and economic elites, and assumes that the plight of government agencies is always closely tied to the fortunes of elected leaders. The history of the Securities and Exchange Commission provides a somewhat different story. The SEC continued to pursue policies opposed by the securities industry despite increased political opposition in the late New Deal. This was due largely to the liberal-reformist ideology held by a large number of SEC commissioners and staff. They believed the agency should adopt a more mandate-driven approach and issue greater numbers of regulations than the SEC had in the early New Deal. As a result of the commissioners he appointed, President Franklin Roosevelt was largely responsible for this change in SEC policymaking.
Dissertations / Theses on the topic "SEC Regulations"
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Palma, Kelly. "Hedge funds and the SEC regulation of Hedge Fund Advisers : /." Staten Island, N.Y. : [s.n.], 2006. http://library.wagner.edu/theses/business/2006/thesis_bus_2006_palma_hedge.pdf.
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Faribault, Christian. "Should Ontario adopt a regulation similar to the SEC Regulation FD to counter selective disclosure?" Thesis, National Library of Canada = Bibliothèque nationale du Canada, 2001. http://www.collectionscanada.ca/obj/s4/f2/dsk3/ftp05/MQ63301.pdf.
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Liu, Zhenfeng. "The Effect of Shortened Reporting Lag on the Usefulness of Form 20-F." FIU Digital Commons, 2016. http://digitalcommons.fiu.edu/etd/2530.
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This study examines the impact of the Securities and Exchange Commission’s (SEC) decision to accelerate the Form 20-F (20-F) filing deadline on the usefulness of 20-Fs. I find that only the large and medium firms experienced a significant increase in market reaction when they accelerated their 20-F filing deadlines to four months after the year-end, while no significant change in market reaction is detected for small firms. I also find that the market did not appear to have reacted to firms who voluntarily further shortened their 20-F reporting lag to less than four months after the year-end. Finally, I find that firms that comply with the SEC’s policy to shorten the 20-F filing deadlines are more likely to restate the financial statements, but the 20-F readability and the possibility of amending their 20-Fs do not seem to be different, compared to the matched non-acceleration firms. Taken together, this study provides consistent evidence suggesting that the “four-month” 20-F filing deadline is beneficial for larger firms while causing no burdens to small firms, and that the accelerated 20-F filing deadline may increase the timeliness of 20-Fs at the expense of the reporting quality.
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Kadri, Sabah. "miRNA Regulation in Development." Research Showcase @ CMU, 2012. http://repository.cmu.edu/dissertations/186.
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microRNAs (miRNAs) are small (20-23 nt), non-coding single stranded RNA molecules that play an important role in post-transcriptional regulation of protein-coding genes. miRNAs have been found in all animal lineages, and have been implicated as critical regulators during development in multiple species. The echinoderms, Strongylocentrotus purpuratus (sea urchin) and Patiria miniata (sea star) are excellent model organisms for studying development due to their well-characterized transcriptional gene networks, ease of working with their embryos in the laboratory and phylogenetic position as invertebrate deuterostomes. Literature on miRNAs in echinoderm embryogenesis is limited. It has been shown that RNAi genes are developmentally expressed and regulated in sea urchin embryos, but no study in the sea urchin has examined the expression of miRNAs.
The goal of my work has been to study miRNA regulation in echinoderm developmental gene networks. I have identified developmentally regulated miRNAs in sea urchin and sea star embryos, using a combination of computational and wet lab experimental techniques. I developed a probabilistic model (named HHMMiR) based on hierarchical hidden Markov models (HHMMs) to classify genomic hairpins into miRNA precursors and random stem-loop structures. I then extended this model to make an efficient decoder by introduction of explicit state duration densities. We used the Illumina Genome Analyzer to sequence small RNA libraries in mixed stage population of embryos from one to three days after fertilization of S. purpuratus and P. miniata. We developed a computational pipeline for analysis of these miRNAseq data to reveal the miRNA populations in both species, and study their differential expression. We also used northern blots and whole mount in situ hybridization experimental techniques to study the temporal and spatial expression patterns of some of these miRNAs in sea urchin embryos. By knocking down the major components of the miRNA biogenesis pathway, we studied the global effects of miRNAs on embryo morphology and differentiation genes. The biogenesis genes selected for this purpose are the RNAse III enzyme, Dicer and Argonaute. Dicer is necessary for the processing of mature miRNAs from hairpin structures while Ago is a necessary part of the RISC (RNA interference silencing complex) assembly, which is required for the miRNA to hybridize to its target mRNA site. Knocking down these genes hinders normal development of the sea urchin embryo and leads to loss of the larval skeleton, a novel phenotype not seen in sea stars, as well as abnormal gastrulation. Comparison of differentiation gene marker expression between control and Ago knocked down sea urchin embryos shows interesting patterns of expansion and suppression of adjoining some embryonic territories, while ingression of larval skeletogenesis progenitors does not occur.
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Kashani, Hossein. "Government intervention and efficiency in the North Sea petroleum industry." Thesis, University of Surrey, 2000. http://epubs.surrey.ac.uk/804404/.
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Hochscheid, Sandra. "Thermoregulation, metabolism and buoyancy regulation in sea turtles." Thesis, University of Aberdeen, 2003. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.288349.
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1. This study was performed to investigate a mechanism of heat exchange in sea turtles and how temperature and different acclimation time affects their metabolic rates. In another part of this thesis I aimed to test the possibility of a correlation between dive duration and both metabolic rate and state of buoyancy known to be regulated via the gas volume in the lungs of Chelonian sea turtles. 2. All experiments were conducted on captive loggerhead (Caretta caretta) and green turtles (Chelonia mydas) housed in a individual tanks with circulating seawater from the adjacent Gulf of Naples (Western Mediterranean). The total range of body masses of turtles used encompassed 2 to 60 kg. 3. It was demonstrated, using Doppler ultrasound, that sea turtles change blood flow in their appendages in response to external cooling and heating. Although this was efficient to accelerate whole body warming and delay the cooling of the body, turtles eventually equilibrated their body temperatures with that of the surrounding water. 4. The Q10 effect on metabolic rate of sea turtles subject to acute exposure to varying temperatures was 1.3. However, during long term exposure to seasonally decreasing water temperatures turtles showed a more pronounced reducted of metabolic rate (O10 = 5.4). Contemporaneously food intake and general activity were greatly reduced as well and dive durations increased. Body temperatures showed the same seasonal trend as the decreasing water temperatures. 5. Oxygen consumption rates of individual turtles, measured over 24-h-periods, peaked at different times of the day and no specific dynamic action after feeding could be detected.
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Russ, Robert W. "SEC Regulation of Corporate 10K Filing Dates: The Effect on Earnings Management and Market Recognition." VCU Scholars Compass, 2006. http://scholarscompass.vcu.edu/etd/721.
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In November 2002, the Securities and Exchange Commission released a final ruling regarding a filing requirement change. The proposed requiredment change was for domestic companies to file annual and quarterly reports within 60 and 30 days, respectfully. This requirement was recommended for companies with a market value of at least $75 million and would reduce by 30 days the time allowed to file these reports. The Wall Street Journal article announcing this proposal stated the change was an effort to address some of the problems arising from accounting scandals such as the Enron scandal of 2001. A potential added benefit of the SEC rule change might be a reduction in earnings management. The purpose of this study is two fold. The first part is to test the theory that earnings management takes time. The second purpose is to examine the question of market recognition of earnings management. Sloan (1996) and other researchers report that the market does not recognize earnings management in the long term. Xie's (2001) results suggest that the market over prices earnings management. Balsam et al. (2002) found the market reacted negatively to abnormal accruals. The current research study uses a larger sample including firms not suspected of earnings management and fails to confirm the Balsam et al. result. The findings of the current study suggest that the results of the Balsam et al. study are either the result of the data selection process used in that study or the data selection processs used by Balsam et al. controlled for other market fluctuations not included in the current study. The results of this study suggest a positive relationship between earnings management and the time to file annual reports. Thsi finding supports the theory that moving earnings management from a future period to the current period requires time. Thus, the SEC rule change to reduce the time to file annual reports should reduce a company's ability to manipulate earnings.
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Gong, Zhiyuan. "Regulation of tubulin gene expression in sea urchin embryos." Thesis, McGill University, 1987. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=74267.
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Regulation of tubulin gene expression in embryos of the sea urchin Lytechinus pictus has been experimentally investigated by use of cloned recombinant tubulin DNA and anti-tubulin antiserum. Tubulin synthesis appears to be autogenously regulated at the level of tubulin mRNA stability by the level of unpolymerized tubulin; i.e., the more unpolymerized tubulin, the less stable the tubulin mRNA. Destabilization of tubulin mRNA requires continued protein synthesis. Most of tubulin stored in eggs is unpolymerized; during embryogenesis the mass of tubulin per embryo changes little, but unpolymerized tubulin is increasingly polymerized into microtubules. There is a transcriptional stimulation of tubulin genes at the time of ciliogenesis but thereafter autoregulation by the ontogenetic decrease of the level of unpolymerized tubulin plays a predominant role for an increasing accumulation of tubulin mRNA. Deciliation results in a transient enhancement of transcription of tubulin genes, which is independent of the level of unpolymerized tubulin and does not require protein synthesis.
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Akun, Deniz <1982>. "Banking Regulation in Turkey and Russia: An Economic Analysis." Doctoral thesis, Alma Mater Studiorum - Università di Bologna, 2013. http://amsdottorato.unibo.it/5328/.
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The importance of the banks and financial markets relies on the fact that they promote economic efficiency by allocating savings efficiently to profitable investment opportunities.An efficient banking system is a key determinant for the financial stability.The theory of market failure forms the basis for understanding financial regulation.Following the detrimental economic and financial consequences in theaftermath of the crisis, academics and policymakers started to focus their attention on the construction of an appropriate regulatory and supervisory framework of the banking sector.
This dissertation aims at understanding the impact of regulations and supervision on banks’ performance focusing on two emerging market economies, Turkey and Russia. It aims at examining the way in which regulations matter for financial stability and banking performance from a law & economics perspective. A review of the theory of banking regulation, particularly as applied to emerging economies, shows that the efficiency of certain solutions regarding banking regulation is open to debate. Therefore, in the context of emerging countries, whether a certain approach is efficient or not will be presented as an empirical question to which this dissertation will try to find an answer.
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Papp, Laura V., and n/a. "Multiple Levels of Regulation of Human SECIS Binding Protein 2, SBP2." Griffith University. School of Biomolecular and Biomedical Science, 2006. http://www4.gu.edu.au:8080/adt-root/public/adt-QGU20070208.145623.
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Selenium is an essential trace mineral of fundamental importance to human health. Its beneficial functions are largely attributed to its presence within a group of proteins named selenoproteins in the form of the amino acid selenocysteine (Sec). Recently, it was revealed that the human selenoproteome consists of 25 selenoproteins, and for many of them their function remains unknown. The most prominent known roles of selenoproteins are to maintain the intracellular redox homeostasis, redox regulation of intracellular signalling and thyroid hormone metabolism. Sec incorporation into selenoproteins employs a unique mechanism that involves decoding of the UGA stop codon. The process requires interplay between distinct, intrinsic features such as the Sec Insertion Sequence (SECIS) element, the tRNASec and multiple protein factors. The work presented in this thesis has focused on characterising the regulation of human SECIS binding protein 2, SBP2, a factor central to this process. Experimental approaches combined with bioinformatics analysis revealed that SBP2 is subjected to alternative splicing. A total of nine alternatively spliced transcripts appear to be expressed in cells, potentially encoding five different protein isoforms. The alternative splicing events are restricted to the 5?-region, which is proposed to be dispensable for Sec incorporation. One of the variants identified, contains a mitochondrial targeting sequence that was capable of targetting SBP2 into the mitochondrial compartment. This isoform also appears to be expressed endogenously within the mitochondria in cells. Previous reports have depicted SBP2 as a ribosomal protein, despite the presence of a putative Nuclear Localisation Signal (NLS). In this study it was found that SBP2 subcellular localisation is not restricted to ribosomes. Intrinsic functional NLS and Nuclear Export Signals (NESs), enable SBP2 to shuttle between the nucleus and the cytoplasm via the CRM1 pathway. In addition, the subcellular localisation of SBP2 appears to play an important role in regulating Sec incorporation into selenoproteins. The subcellular localisation of SBP2 is altered by conditions imposing oxidative stress. Several oxidising agents induce the nuclear accumulation of SBP2, which occurs via oxidation of cysteine residues within a novel redox-sensitive cysteine rich domain (CRD). Cysteine residues were to form disulfide bonds and glutathione-mixed disulfides during oxidising conditions, which are efficiently reversed in vitro by the thioredoxin and glutaredoxin systems, respectively. These modifications negatively regulate selenoprotein synthesis. Cells depleted of SBP2 are more sensitive to oxidative stress than control cells, which correlated with a substantial decrease in selenoprotein synthesis after treatment with oxidising agents. These results provide direct evidence that SBP2 is required for Sec incorporation in vivo and suggest that nuclear sequestration of SBP2 under such conditions may represent a mechanism to regulate the expression of selenoproteins. Collectively, these results suggest that SBP2 is regulated at multiple levels: by alternative splicing, changes in subcellar localisation and redox control.
Books on the topic "SEC Regulations"
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Bragg, Steven M. The Ultimate Accountants' Reference Including GAAP, IRS & SEC Regulations, Leases, and More. 3rd ed. Hoboken: John Wiley & Sons, 2010.
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The ultimate accountants' reference: Including GAAP, IRS & SEC regulations, leases, and more. Hoboken, N.J: John Wiley, 2005.
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The ultimate accountants' reference: Including GAAP, IRS and SEC regulations, leases, and more. 3rd ed. Hoboken, N.J: Wiley, 2010.
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Code of federal regulations, title 40, protection of environment, part 52 (sec. 52.01-52-1018), ... [Place of publication not identified]: U S Govt. Printing Office, 2009.
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Australia. Conciliation and Arbitration Act 1904: Including regulations with Sec. 45D and 45E of the Trade Practices Act. [North Ryde, N.S.W.?]: CCH Australia, 1987.
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American Bar Association. Section of Corporation, Banking, and Business Law. [SEC regulations]. 1994.
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Sec Guidelines: Rules & Regulations. Warren Gorham & Lamont, 1993.
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1994 Sec Guidelines: Rules and Regulations (Sec Guidelines, Rules, and Regulations). Warren Gorham & Lamont, 1993.
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1999 Sec Guidelines: Rules and Regulations (Sec Guidelines, Rules, and Regulations). Warren Gorham & Lamont, 1999.
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Sec Guidelines 2005: Rules and Regulations (Sec Guidelines, Rules, and Regulations). Warren Gorham & Lamont, 2005.
Find full textBook chapters on the topic "SEC Regulations"
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Arshadi, Nasser, and Thomas H. Eyssell. "Securities Regulations, Market Efficiency, and the Role of the SEC." In The Law and Finance of Corporate Insider Trading: Theory and Evidence, 17–41. Boston, MA: Springer US, 1993. http://dx.doi.org/10.1007/978-1-4615-3244-6_3.
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Getty, Paul M., Dinesh Gupta, and Robert R. Kaplan. "Current Guidance from SEC." In Regulation A+, 197–215. Berkeley, CA: Apress, 2015. http://dx.doi.org/10.1007/978-1-4302-5732-5_12.
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Krüsi, Andrea, Kate D’Adamo, and Ariel Sernick. "Criminalised Interactions with Law Enforcement and Impacts on Health and Safety in the Context of Different Legislative Frameworks Governing Sex Work Globally." In Sex Work, Health, and Human Rights, 121–40. Cham: Springer International Publishing, 2021. http://dx.doi.org/10.1007/978-3-030-64171-9_7.
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AbstractThis chapter focuses on cis and trans sex workers’ experiences with law enforcement, and how various regimes of regulating sex work including full and partial criminalisation, legalisation, and decriminalisation shape the human rights and the work environments of sex workers globally including access to occupational health and safety, police protection, and legal recourse. Criminalisation and policing of sex work constitute forms of structural violence that perpetuate and exacerbate experiences of interpersonal violence and negative health outcomes among sex workers globally. Country spotlights from the global North and South provide examples of different regimes of regulation and draw attention to how laws and regulations interact with specific work environments in various settings to shape sex workers’ lived experiences of health, safety, and human rights. This chapter highlights how various approaches to criminalising and policing sex work undermine sex workers’ safety, health and human rights, including violence and poor health and concludes with an evidence-based call for the decriminalisation of sex work globally.
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Fautre, Willy. "Belgium's Anti-Sect Policy." In Regulating Religion, 113–25. Boston, MA: Springer US, 2004. http://dx.doi.org/10.1007/978-1-4419-9094-5_8.
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Ludlow, Karinne, Stuart J. Smyth, and José Falck-Zepeda. "Assessing the SEC Landscape and Moving Forward." In Socio-Economic Considerations in Biotechnology Regulation, 295–305. New York, NY: Springer New York, 2013. http://dx.doi.org/10.1007/978-1-4614-9440-9_20.
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Mihr, Anja. "“Glocal” Governance in the OSCE Region: A Research Proposal." In Between Peace and Conflict in the East and the West, 287–97. Cham: Springer International Publishing, 2021. http://dx.doi.org/10.1007/978-3-030-77489-9_16.
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Abstract“Think global, act locally,” is the essence of glocalization and of glocal governance. Glocal governance means that local stakeholders, such as business, civil society, city councils, authorities and activists actively participate in decision-making processes. Different stakeholders, local, international and domestic ones, make decisions on common rules and regulations while operating, controlling, implementing and enforcing them locally—and wherever needed. Many of these decisions are taken in light of and in accordance with global or international standards. Such standards can be universal UN human rights norms that are, for example, enshrined in international human rights treaties and agreements, and WTO trade norms on tax regulation or copyrights and laws. Global norms can be international customary law, such as humanitarian law or the law of the sea, general guidelines, recommendations or rules and standards on security and elections as set by the OSCE.
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Grunwald, Iris Q., Klaus Fassbender, and Ajay K. Wakhloo. "Guidelines and Regulations." In How to set up an Acute Stroke Service, 25–32. Berlin, Heidelberg: Springer Berlin Heidelberg, 2011. http://dx.doi.org/10.1007/978-3-642-21405-9_2.
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Johnson, Philip McBride. "Reflections on the CFTC/SEC Jurisdictional Dispute." In Regulating International Financial Markets: Issues and Policies, 143–48. Dordrecht: Springer Netherlands, 1992. http://dx.doi.org/10.1007/978-94-011-3880-2_11.
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Unger, Laura Simone. "View from the Sec-Promoting Fair and Efficient Markets as a Regulatory End." In Regulation of U.S. Equity Markets, 59–74. Boston, MA: Springer US, 2001. http://dx.doi.org/10.1007/978-1-4615-1651-4_6.
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Bianco, Giuseppe. "Strengths and Weaknesses of the ESMA-SEC Supervisory Cooperation." In Regulating and Supervising European Financial Markets, 167–91. Cham: Springer International Publishing, 2016. http://dx.doi.org/10.1007/978-3-319-32174-5_7.
Full textConference papers on the topic "SEC Regulations"
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Morales, Enrique, and W. John Lee. "Analysis of Reasons for Differences in Proved Reserves Estimates with PRMS and SEC Regulations." In SPE Annual Technical Conference and Exhibition. Society of Petroleum Engineers, 2020. http://dx.doi.org/10.2118/201583-ms.
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Narayanan, Keshav, Peter Gale, J. P. Blangy, and Elliott Young. "Establishing Reasonable Certainty for Reserves Estimates by Utilizing a Combination of Reliable Technologies." In SPE Annual Technical Conference and Exhibition. SPE, 2022. http://dx.doi.org/10.2118/210358-ms.
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Abstract The Petroleum Resources Management System (PRMS) (PRMS, 2018) and many regulatory agencies (e.g. US Securities and Exchange Commission – US SEC) require "Reasonable Certainty" for Proved Reserves estimates. The PRMS states that Reasonable Certainty can be demonstrated by use of "definitive geoscience, engineering, or performance data", while the SEC allows the application of reliable technology which they define as a "grouping of one or more technologies (including computational methods) that has been field tested to provide reasonably certain results with consistency and repeatability" (US Code of Federal Regulations § 210.4-10). The guidance provided by the PRMS or SEC for establishing reasonable certainty is general in nature due to the difficulty in explicitly describing all possible scenarios and also allows leeway to use new technologies in the future. In this context, we see the need for more discussion on how a reasonably certain case can be developed utilizing multiple technologies. Reserves estimates are snapshots in time based on the integration of the best data, analysis and forecasts available. Proper application of reliable technologies with all available data can help to refine the uncertainty ranges of reserves. We demonstrate how an overall reasonably certain estimate can be established by utilizing multiple reliable technologies even when each technology individually may not be sufficient to establish reasonable certainty. This approach can also guide how future performance data can be integrated to refine uncertainty ranges. This paper addresses the complex challenge of establishing reasonable certainty in reserves and resource assessments. The paper discusses how multiple reliable technologies may be used in concert to establish reasonable certainty for reserves estimates through the flexibility provided by the PRMS. We share our experiences with establishing reliability based on quality of data and reservoir complexity. The practical discussions in this paper will benefit subsurface teams and reserves estimators across the industry.
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Chikhaliya, Kamlesh, and Ruediger Gawlick. "Criteria for Specifying Static Equipment Construction Code for Process Plant." In ASME 2022 Pressure Vessels & Piping Conference. American Society of Mechanical Engineers, 2022. http://dx.doi.org/10.1115/pvp2022-78987.
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Abstract Capital costs of static equipment including pressure vessels, heat exchangers and process columns contribute approx. 20 to 40% of cost of total plant. Static equipment is being designed and manufactured based on international codes, standards and statutory legal requirements. Selection of appropriate equipment construction code fulfilling ambient conditions, equipment design temperatures and country specific regulations has significant implications on cost effectiveness and required safety of process plant. This paper presents basic criteria for selection of ASME Sec. VIII or EN-13445 for equipment design and construction based on design temperature, ambient conditions and country specific legal requirements like PED 2014/68/EU and TRCU 032/2013. Effect of change of elevated temperature and material on weight of equipment is also demonstrated by example. Material selection based on corrosion aspects is not included in this paper.
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Li, Z. Y., C. L. Zhou, Y. Z. Zhao, Z. L. Hua, L. Zhang, M. Wen, and P. Xu. "Crack Growth Analysis of High-Pressure Equipment for Hydrogen Storage." In ASME 2013 Pressure Vessels and Piping Conference. American Society of Mechanical Engineers, 2013. http://dx.doi.org/10.1115/pvp2013-97272.
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Crack growth analysis (CGA) was applied to estimate the cycle life of the high-pressure hydrogen equipment constructed by the practical materials of 4340 (two heats), 4137, 4130X, A286, type 316 (solution-annealed (SA) and cold-worked (CW)), and type 304 (SA and CW) in 45, 85 and 105 MPa hydrogen and air. The wall thickness was calculated following five regulations of the High Pressure Gas Safety Institute of Japan (KHK) designated equipment rule, KHKS 0220, TSG R0002, JB4732, and ASME Sec. VIII, Div. 3. We also applied CGA for four typical model materials to discuss the effect of ultimate tensile strength (UTS), pressure and hydrogen sensitivity on the cycle life of the high-pressure hydrogen equipment. Leak before burst (LBB) was confirmed in all practical materials in hydrogen and air. The minimum KIC required for LBB of the model material with UTS of even 1500 MPa was 170 MPa·m0.5 in 105 MPa. Cycle life qualified 103 cycles for all practical materials in air. In 105 MPa hydrogen, the cycle life by KIH was much shorter than that in air for two heats of 4340 and 4137 sensitive to hydrogen gas embrittlement (HGE). The cycle life of type 304 (SA) sensitive to HGE was almost above 104 cycles in hydrogen, while the cycle life of type 316 (SA and CW) was not affected by hydrogen and that of A286 in hydrogen was near to that in air. It was discussed that the cycle life increased with decreasing pressure or UTS in hydrogen. This behavior was due to that KIH increased or fatigue crack growth (FCG) decreased with decreasing pressure or UTS. The cycle life data of the model materials under the conditions of the pressure, UTS, KIH, FCG and regulations in both hydrogen and air were proposed quantitatively for materials selection for high-pressure hydrogen storage.
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Xia, Chen, Guoping Huang, and Jie Chen. "A New Micro Turbo-Machinery Test Facility." In ASME Turbo Expo 2010: Power for Land, Sea, and Air. ASMEDC, 2010. http://dx.doi.org/10.1115/gt2010-23257.
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The design and construction of a new test facility of micro turbo-machinery are presented for micro centrifugal compressors and radial turbines. The bed can be used for the full speed compressor test and the long duration hot turbine test. In order to adjust the testing condition rapidly, all the regulations of operating state are completed automatically by the control system. The test bed can be used for testing impeller performance with a series of diameter from 55 to 180 mm as a result of the modular design. A thermal protection system is designed to avoid the heat distortion caused by the high inlet temperature of turbine which may exceeds 1100K and provide a proper experimental environment for the electronic components. A photoelectric torque transducer with an accuracy of 1% is designed to measure the torque of a rigid shaft at a high speed over 120000rpm, and the maximum shaft torque is 7.7 N·m. The pressure and temperature are measured by pressure probes and thermocouples. The dynamic pressure signal of the centrifugal compressor is monitored by dynamic pressure sensors. The V-cone pressure-difference mass-flow meters are used for measuring mass-flow. The maximum rotating speed is 125000rpm, and the mass flow adjusted by the electric control valves varies from 0.1 to 1.0 kg/sec. The maximum inlet total temperature of the turbine is 1180K.
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Morales, Enrique, and John Lee. "Can Reasonable Certainty be Assessed from Disclosed Proved Reserves Revisions?" In SPE EuropEC - Europe Energy Conference featured at the 83rd EAGE Annual Conference & Exhibition. SPE, 2022. http://dx.doi.org/10.2118/209695-ms.
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Abstract If properly estimated, technical revisions to disclosed proved reserves can be used to establish the reasonable certainty of both proved developed and undeveloped reserves. The trends in these technical revisions are important because they should result in overall positive revisions in EUR within a representative time period. If this criterion is not met, then the proved status of the reserves disclosed becomes questionable with the implications that this may have in depreciation, profit and loss, impairment tests and other reserves indicators where proved reserves are used. Unfortunately, in our review of the annual proved reserves revisions of developed and undeveloped proved reserves disclosed by companies to the SEC, we identified different interpretations and inconsistencies in the annual changes of proved reserves. We used data from annual reports issued between 2010 and 2020 by 141 companies, complemented by hundreds of comment letters issued by the SEC during this period, and found that companies did not apply the regulations and standards consistently, highlighting the limited effect the SEC comment letters have had in improving clarity and understanding in this important area of reserves estimation and categorization. We identified several issues which, if not carefully considered, may lead to incorrect interpretations and conclusions regarding the reliability and comparability of the disclosed proved reserves annual changes and their embedded level of certainty. The paper highlights different interpretations of key definitions and the different approaches and practices that seem to exist in companies when evaluators estimate, categorize, and disclose annual proved reserves changes due to revisions, improved recovery and extensions and discoveries, with special focus on isolating the technical revisions. We also show that the approach that some companies use to estimate the impact of changes due to changes in economic factors in the disclosed proved reserves leads to incorrect estimates and distorts the overall results or comparisons between companies. The evidence shown in the paper calls for improved and systematic official guidance if the proved reserves disclosures are to be used in a practical and useful manner. In the absence of such official guidance, this paper provides a simple project-based framework that may be used to properly analyze and extract value from the disclosed annual changes of proved reserves to improve the alignment, consistency, and proper interpretation of the disclosed proved reserves information and ensure that annual reserves changes do not end up being useless, impractical, or unreliable.
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Konosu, Shinji, Takayasu Tahara, and Hideo Kobayashi. "Japanese Code for Assessment Procedure for Crack-like Flaws in Pressure Equipment." In ASME 2002 Pressure Vessels and Piping Conference. ASMEDC, 2002. http://dx.doi.org/10.1115/pvp2002-1238.
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There are numerous instances in which in-service flaws due to various kinds of damage and deterioration are found in equipment as a result of in-service inspections. The proper evaluation of such flaws is extremely important. Fitness-for-Service (FFS) codes, such as ASME B&PV Code Sec. XI and JSME S NA1 for nuclear power generation facilities and BS 7910 and API-RP579 for general industrial facilities, are available. In light of such circumstances, the High Pressure Institute of Japan (HPI) has prescribed its code “Assessment procedure for crack-like flaws in pressure equipment” for conducting quantitative safety evaluations of flaws detected in common industrial pressure components such as pressure vessels, piping, storage tanks, and so on designed and fabricated in accordance with Japanese codes and regulations such as JIS B8265 and High Pressure Gas Safety Law. The FFS code consists of Level 1 assessment (whereby assessment can be conducted without extensive knowledge of fracture mechanics) and Level 2 assessment (which enables more detailed fracture mechanics analyses and is currently being studied). The allowable flaw size is specified in accordance with the plate thickness. The required impact absorbed energies based on material strength, whether or not PWHT has been done and the orientation of the flaw in relation to the weld seam, are also specified. An approximated equation of stress intensity factor for an embedded flaw near the surface has been derived. The re-characterization procedure for assessing an embedded flaw has been clarified. The flaw can be judged to be acceptable if its size is less than that of an allowable flaw and the equipment is to be used at temperatures exceeding the temperature (MAT) at which the material absorbed energy meets the required impact absorbed energy.
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Bodul, Dejan, and Ivo Matić. "POSTUPAK IZVANREDNE UPRAVE: INSOLVENCIJSKI MODEL KAO „TALAC“ KRIZE." In XV Majsko savetovanje: Sloboda pružanja usluga i pravna sigurnost. University of Kragujevac, Faculty of Law, 2019. http://dx.doi.org/10.46793/xvmajsko.477b.
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The global crisis in recent years has resulted in an inconsistent economic policy of EU member states that ranged from the policy of proclaimed liberalism to the policy of ad hoc interventionism. It is the result of a mismatch between the capacity of the nation state and its existing obligations towards its citizens. Doctrinal analyses state that, therefore, states are trying to fulfil their expected function by implementing insolvency regulations aimed at rescuing infrastructure "losers" from liquidation bankruptcy while retaining those entities that are the backbone of national development policy. In this regard, this paper intends to analyse the model of Extraordinary Management Procedure defined by the Law on the Executive Administration Procedure in Companies of Systemic Importance for the Republic of Croatia. Due to the controversy that exists on the doctrinal plan related to the implementation as well as the application of the aforementioned regulations, a lot of questions have been opened, and there is no clear answer. However, it seems useful to try to detect some problems of positive regulation and offer possible solutions to the protection of creditors and debtors during the following systemic crises. For comparison and possible suggestions de lege ferenda for the Serbian legislator, these experiences are potentially important because a reform of the regulations (and even insolvency regulation) is underway, primarily by the process of harmonization of Serbian regulations with EU regulations. The complexity of the subject of research and the set tasks were conditioned by the choice of methods, so the methodology used in the research included the study of domestic and foreign literature, relevant legislation, as well as the analysis of domestic and foreign court practices. We certainly consider it important to point out that the space that we have here does not allow us for a detailed breakdown of this issue, so we are forced to limit ourselves, in the author's opinion, to some aspects of the new bankruptcy regulations.
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Mukanov, Adil, and Asset Zhumadil. "Transition to New Reserves Reporting System in Kazakhstan: Challenges and Benefits." In SPE Annual Caspian Technical Conference. SPE, 2021. http://dx.doi.org/10.2118/207056-ms.
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Abstract The 74th step of "100 Concrete Step of Nation Plan" initiated by the first president of the Republic of Kazakhstan (RoK) Nursultan Nazarbayev states that Kazakhstani reserves reporting system must be changed to the international standards. One of them actively proposed is the SPE-PRMS. Therefore, the main goal of the paper is to show challenges of the transition, discuss possible problems, their solution and, eventually, advantages for the companies. In the paper the main aspects of the current State Committee of Reserves (SCR) system or well-known as GKZ system inherited from the Soviet system and used in Kazakhstan are reported. Especially, we try to highlight the reserves categories of A, B, C1 and C2 and their impact on further field development in details. Also SPE-PRMS and SEC rules are shown in terms of differences and similarities with the current system. Importantly, authors demonstrate how the SPE-PRMS standards are wide-spread around the globe. Finally, details of planned shift, some recommendations and simplification of reporting process are exhibited. As the result of the study the following points are investigated. Firstly, what will be with reports just recently approved by the SCR. Especially, for the big fields whose preparation takes up to several years. Secondly, what the frequency is for the reporting. Thirdly, whether the reports will be handled through several approval stages or just submitted. Moreover, how close to SPE-PRMS the new system should be adopted taking into account Kazahstani realities and if the reports should be composed in English along with Russian, since the main purpose of the transition is to be clear and transparent for the foreign investors. Otherwise, unfamiliar language and big deviation from the well-known standards may ruin the efforts. Despite the complexity of these issues the benefits of the new system are obvious and there are several reasons. The main advantage is that the SPE-PRMS is all about economically recoverable reserves without any ties with fixed recovery factor. In addition, report is done in short time and less volume. Finally, if the norm of the report's submission without going to tedious approval process is accepted, that will ease work of the subsoil users’ because it accelerates further preparation of field development project. The study is done due to recent changes of the RoK subsoil usage regulations, where the requirement for reserves reporting system's transition to the new international standards is mentioned. However, the issue is not much highlighted in technical publications from the operating companies’ point of view. Thus, having experience with GKZ, SPE-PRMS and SEC systems the authors take this opportunity to show challenges and benefits of the decision.
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Mukanov, Adil, and Asset Zhumadil. "Transition to New Reserves Reporting System in Kazakhstan: Challenges and Benefits." In SPE Annual Caspian Technical Conference. SPE, 2021. http://dx.doi.org/10.2118/207056-ms.
Full textAbstract:
Abstract The 74th step of "100 Concrete Step of Nation Plan" initiated by the first president of the Republic of Kazakhstan (RoK) Nursultan Nazarbayev states that Kazakhstani reserves reporting system must be changed to the international standards. One of them actively proposed is the SPE-PRMS. Therefore, the main goal of the paper is to show challenges of the transition, discuss possible problems, their solution and, eventually, advantages for the companies. In the paper the main aspects of the current State Committee of Reserves (SCR) system or well-known as GKZ system inherited from the Soviet system and used in Kazakhstan are reported. Especially, we try to highlight the reserves categories of A, B, C1 and C2 and their impact on further field development in details. Also SPE-PRMS and SEC rules are shown in terms of differences and similarities with the current system. Importantly, authors demonstrate how the SPE-PRMS standards are wide-spread around the globe. Finally, details of planned shift, some recommendations and simplification of reporting process are exhibited. As the result of the study the following points are investigated. Firstly, what will be with reports just recently approved by the SCR. Especially, for the big fields whose preparation takes up to several years. Secondly, what the frequency is for the reporting. Thirdly, whether the reports will be handled through several approval stages or just submitted. Moreover, how close to SPE-PRMS the new system should be adopted taking into account Kazahstani realities and if the reports should be composed in English along with Russian, since the main purpose of the transition is to be clear and transparent for the foreign investors. Otherwise, unfamiliar language and big deviation from the well-known standards may ruin the efforts. Despite the complexity of these issues the benefits of the new system are obvious and there are several reasons. The main advantage is that the SPE-PRMS is all about economically recoverable reserves without any ties with fixed recovery factor. In addition, report is done in short time and less volume. Finally, if the norm of the report's submission without going to tedious approval process is accepted, that will ease work of the subsoil users’ because it accelerates further preparation of field development project. The study is done due to recent changes of the RoK subsoil usage regulations, where the requirement for reserves reporting system's transition to the new international standards is mentioned. However, the issue is not much highlighted in technical publications from the operating companies’ point of view. Thus, having experience with GKZ, SPE-PRMS and SEC systems the authors take this opportunity to show challenges and benefits of the decision.
Reports on the topic "SEC Regulations"
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Grumet, Rebecca, Rafael Perl-Treves, and Jack Staub. Ethylene Mediated Regulation of Cucumis Reproduction - from Sex Expression to Fruit Set. United States Department of Agriculture, February 2010. http://dx.doi.org/10.32747/2010.7696533.bard.
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Reproductive development is a critical determinant of agricultural yield. For species with unisexual flowers, floral secualdifferentation adds additional complexity, that can influenec productivity. The hormone ethylene has long, been known to play a primary role in sex determination in the Cucumis species cucumber (C. sativus) and melon (C. melo). Our objectives were to: (1) Determine critical sites of ethylene production and perception for sex determination; (2) Identify additional ethylene related genes associated with sex expression; and (3) Examine the role of environment ami prior fruit set on sex expression, pistillate flower maturation, and fruit set. We made progress in each of these areas. (1) Transgenic melon produced with the Arabidopsis dominant negative ethylene perception mutant gene, etrl-1, under the control of floral primordia targeted promoters [AP3 (petal and stamen) and CRC (carpel and nectary)], showed that ethylene perception by the stamen primordia, rather than carpel primordia, is critical for carpel development at the time of sex determination. Transgenic melons also were produced with the ethylene production enzyme gene. ACS, encoding l-aminocyclopropane-lcarboylate synthase, fused to the AP3 or CRC promoters. Consistent with the etr1-1 results, CRC::ACS did not increase femaleness; however, AP3::ACS reduced or eliminated male flower production. The effects of AP3:ACS were stronger than those of 35S::ACS plants, demonstratin g the importance of targeted expression, while avoiding disadvantages of constitutive ethylene production. (2) Linkage analysis coupled with SNP discovery was per formed on ethylene and floral development genes in cucumber populations segregating for the three major sex genes. A break-through towards cloning the cucumber M gene occurred when the melon andromonoecious gene (a), an ACS gene, was cloned in 2008. Both cucumber M and melon a suppress stamen development in pistillate flowers. We hypothesized that cucumber M could be orthologous to melon a, and found that mutations in CsACS2 co-segregated perfectly with the M gene. We also sought to identify miRNA molecules associated with sex determination. miRNA159, whose target in Arabidopsis is GAMYB[a transcription factor gene mediating response to10 gibberellin (GA)], was more highly expressed in young female buds than male. Since GA promotes maleness in cucumber, a micro RNA that counteracts GAMYB could promote femaleness. miRNA157, which in other plants targets transcription factors involved in flower development , was expressed in young male buds and mature flower anthers. (3) Gene expression profiling showed that ethylene-, senescence-, stress- and ubiquitin-related genes were up-regulated in senescing and inhibited fruits, while those undergoing successful fruit set up-regulated photosynthesis, respiration and metabolic genes. Melon plants can change sex expression in response to environmental conditions, leading to changes in yield potential. Unique melon lines with varying sex expression were developed and evaluated in the field in Hancock, Wisconsin . Environmental changes during the growing season influenced sex expression in highly inbred melon lines. Collectively these results are of significance for understanding regulation of sex expression. The fact that both cucumber sex loci identified so far (F and M) encode isoforms of the same ethylene synthesis enzyme, underscores the importance of ethylene as the main sex determining hormone in cucumber. The targeting studies give insight into developmental switch points and suggest a means to develop lines with earlier carpel-bearing flower production and fruit set. These results are of significance for understanding regulation of sex expression to facilitate shorter growing seasons and earlier time to market. Field results provide information for development of management strategies for commercial production of melon cultivars with different sex expression characteristics during fruit production.
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Gomes, Armando, Gary Gorton, and Leonardo Madureira. SEC Regulation Fair Disclosure, Information, and the Cost of Capital. Cambridge, MA: National Bureau of Economic Research, June 2004. http://dx.doi.org/10.3386/w10567.
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Perl-Treves, Rafael, Rebecca Grumet, Nurit Katzir, and Jack E. Staub. Ethylene Mediated Regulation of Sex Expression in Cucumis. United States Department of Agriculture, January 2005. http://dx.doi.org/10.32747/2005.7586536.bard.
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Monoecious species such as melon and cucumber develop separate male and female (or bisexual) flowers on the same plant individual. They display complex genetic and hormonal regulation of sex patterns along the plant. Ethylene is known to play an important role in promoting femaleness and inhibiting male development, but many questions regarding critical sites of ethylene production versus perception, the relationship between ethylene and the sex determining loci, and the possible differences between melon and cucumber in this respect are still open. The general goal of the project was to elucidate the role of ethylene in determining flower sex in Cucumis species, melon and cucumber. The specific Objectives were: 1. Clone and characterize expression patterns of cucumber genes involved in ethylene biosynthesis and perception. 2. Genetic mapping of cloned genes and markers with respect to sex loci in melon and cucumber. 3. Produce and analyze transgenic melons altered in ethylene production or perception. In the course of the project, some modifications/adjustments were made: under Objective 2 (genetic mapping) a set of new mapping populations had to be developed, to allow better detection of polymorphism. Under Objective 3, cucumber transformation systems became available to us and we included this second model species in our plan. The main findings of our study support the pivotal role of ethylene in cucumber and melon sex determination and later stages of reproductive development. Modifying ethylene production resulted in profound alteration of sex patterns in melon: femaleness increased, and also flower maturation and fruit set were enhanced, resulting in earlier, more concentrated fruit yield in the field. Such effect was previously unknown and could have agronomic value. Our results also demonstrate the great importance of ethylene sensitivity in sex expression. Ethylene perception genes are expressed in sex-related patterns, e.g., gynoecious lines express higher levels of receptor-transcripts, and copper treatments that activate the receptor can increase femaleness. Transgenic cucumbers with increased expression of an ethylene receptor showed enhanced femaleness. Melons that expressed a defective receptor produced fewer hermaphrodite flowers and were insensitive to exogenous ethylene. When the expression of defective receptor was restricted to specific floral whorls, we saw that pistils were not inhibited by the blocked perception at the fourth whorl. Such unexpected findings suggest an indirect effect of ethylene on the affected whorl; it also points at interesting differences between melon and cucumber regarding the mode of action of ethylene. Such effects will require further study. Finally, our project also generated and tested a set of novel genetic tools for finer identification of sex determining genes in the two species and for efficient breeding for these characters. Populations that will allow easier linkage analysis of candidate genes with each sex locus were developed. Moreover, effects of modifier genes on the major femaleness trait were resolved. QTL analysis of femaleness and related developmental traits was conducted, and a comprehensive set of Near Isogenic Lines that differ in specific QTLs were prepared and made available for the private and public research. Marker assisted selection (MAS) of femaleness and fruit yield components was directly compared with phenotypic selection in field trials, and the relative efficiency of MAS was demonstrated. Such level of genetic resolution and such advanced tools were not used before to study these traits, that act as primary yield components to determine economic yields of cucurbits. In addition, this project resulted in the establishment of workable transformation procedures in our laboratories and these can be further utilized to study the function of sex-related genes in detail.
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Fischer, Stephan. IEA-SHC Task 39 INFO Sheet A5 - Standards, Certification and Regulations. IEA Solar Heating and Cooling Programme, May 2015. http://dx.doi.org/10.18777/ieashc-task39-2015-0027.
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Qhotsokoane, Tebello, Beatriz Kira, and Simphiwe Laura Stewart. Fostering inclusive economic growth: the case of the Digital Code of Benin. Digital Pathways at Oxford, April 2021. http://dx.doi.org/10.35489/bsg-dp-wp_2021/02.
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This policy note seeks to elucidate the opportunities for development in Republic of Benin’s digital code, as the country attempts to become a regional example of progress in the digital sphere. The note examines the Digital Code of Benin which sets out a comprehensive set of laws and regulations aimed at providing a secure and conducive environment for digital transformation and innovation. By assessing the key strengths and opportunities for development, this policy note can also inform regional approaches to regulation of the digital economy, especially since Benin is seen as a model for the region.
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Blencowe, Benjamin. Role of Ser-Arg Proteins in the Regulation of RNA Processing. Fort Belvoir, VA: Defense Technical Information Center, September 1999. http://dx.doi.org/10.21236/ada383350.
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Rafaeli, Ada, Ashok Raina, and Abraham Hefetz. Mechanism Involved in the Neurohormonal Regulation of Sex Pheromone Production in Lepidoptera. United States Department of Agriculture, August 1995. http://dx.doi.org/10.32747/1995.7604283.bard.
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Meidan, Rina, and Robert Milvae. Regulation of Bovine Corpus Luteum Function. United States Department of Agriculture, March 1995. http://dx.doi.org/10.32747/1995.7604935.bard.
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The main goal of this research plan was to elucidate regulatory mechanisms controlling the development, function of the bovine corpus luteum (CL). The CL contains two different sterodigenic cell types and therefore it was necessary to obtain pure cell population. A system was developed in which granulosa and theca interna cells, isolated from a preovulatory follicle, acquired characteristics typical of large (LL) and small (SL) luteal cells, respectively, as judged by several biochemical and morphological criteria. Experiments were conducted to determine the effects of granulosa cells removal on subsequent CL function, the results obtained support the concept that granulosa cells make a substaintial contribution to the output of progesterone by the cyclic CL but may have a limited role in determining the functional lifespan of the CL. This experimental model was also used to better understand the contribution of follicular granulosa cells to subsequent luteal SCC mRNA expression. The mitochondrial cytochrome side-chain cleavage enzyme (SCC), which converts cholesterol to pregnenolone, is the first and rate-limiting enzyme of the steroidogenic pathway. Experiments were conducted to characterize the gene expression of P450scc in bovine CL. Levels of P450scc mRNA were higher during mid-luteal phase than in either the early or late luteal phases. PGF 2a injection decreased luteal P450scc mRNA in a time-dependent manner; levels were significantly reduced by 2h after treatment. CLs obtained from heifers on day 8 of the estrous cycle which had granulosa cells removed had a 45% reduction in the levels of mRNA for SCC enzymes as well as a 78% reduction in the numbers of LL cells. To characterize SCC expression in each steroidogenic cell type we utilized pure cell populations. Upon luteinization, LL expressed 2-3 fold higher amounts of both SCC enzymes mRNAs than SL. Moreover, eight days after stimulant removal, LL retained their P4 production capacity, expressed P450scc mRNA and contained this protein. In our attempts to establish the in vitro luteinization model, we had to select the prevulatory and pre-gonadotropin surge follicles. The ratio of estradiol:P4 which is often used was unreliable since P4 levels are high in atretic follicles and also in preovulatory post-gonadotropin follicles. We have therefore examined whether oxytocin (OT) levels in follicular fluids could enhance our ability to correctly and easily define follicular status. Based on E2 and OT concentrations in follicular fluids we could more accurately identify follicles that are preovulatory and post gonadotropin surge. Next we studied OT biosynthesis in granulosa cells, cells which were incubated with forskolin contained stores of the precursor indicating that forskolin (which mimics gonadotropin action) is an effective stimulator of OT biosynthesis and release. While studying in vitro luteinization, we noticed that IGF-I induced effects were not identical to those induced by insulin despite the fact that megadoses of insulin were used. This was the first indication that the cells may secrete IGF binding protein(s) which regonize IGFs and not insulin. In a detailed study involving several techniques, we characterized the species of IGF binding proteins secreted by luteal cells. The effects of exogenous polyunsaturated fatty acids and arachidonic acid on the production of P4 and prostanoids by dispersed bovine luteal cells was examined. The addition of eicosapentaenoic acid and arachidonic acid resulted in a dose-dependent reduction in basal and LH-stimulated biosynthesis of P4 and PGI2 and an increase in production of PGF 2a and 5-HETE production. Indomethacin, an inhibitor of arachidonic acid metabolism via the production of 5-HETE was unaffected. Results of these experiments suggest that the inhibitory effect of arachidonic acid on the biosynthesis of luteal P4 is due to either a direct action of arachidonic acid, or its conversion to 5-HETE via the lipoxgenase pathway of metabolism. The detailed and important information gained by the two labs elucidated the mode of action of factors crucially important to the function of the bovine CL. The data indicate that follicular granulosa cells make a major contribution to numbers of large luteal cells, OT and basal P4 production, as well as the content of cytochrome P450 scc. Granulosa-derived large luteal cells have distinct features: when luteinized, the cell no longer possesses LH receptors, its cAMP response is diminished yet P4 synthesis is sustained. This may imply that maintenance of P4 (even in the absence of a Luteotropic signal) during critical periods such as pregnancy recognition, is dependent on the proper luteinization and function of the large luteal cell.
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Ohad, Nir, and Robert Fischer. Regulation of Fertilization-Independent Endosperm Development by Polycomb Proteins. United States Department of Agriculture, January 2004. http://dx.doi.org/10.32747/2004.7695869.bard.
Full textAbstract:
Arabidopsis mutants that we have isolated, encode for fertilization-independent endosperm (fie), fertilization-independent seed2 (fis2) and medea (mea) genes, act in the female gametophyte and allow endosperm to develop without fertilization when mutated. We cloned the FIE and MEA genes and showed that they encode WD and SET domain polycomb (Pc G) proteins, respectively. Homologous proteins of FIE and MEA in other organisms are known to regulate gene transcription by modulating chromatin structure. Based on our results, we proposed a model whereby both FIE and MEA interact to suppress transcription of regulatory genes. These genes are transcribed only at proper developmental stages, as in the central cell of the female gametophyte after fertilization, thus activating endosperm development. To test our model, the following questions were addressed: What is the Composition and Function of the Polycomb Complex? Molecular, biochemical, genetic and genomic approaches were offered to identify members of the complex, analyze their interactions, and understand their function. What is the Temporal and Spatial Pattern of Polycomb Proteins Accumulation? The use of transgenic plants expressing tagged FIE and MEA polypeptides as well as specific antibodies were proposed to localize the endogenous polycomb complex. How is Polycomb Protein Activity Controlled? To understand the molecular mechanism controlling the accumulation of FIE protein, transgenic plants as well as molecular approaches were proposed to determine whether FIE is regulated at the translational or posttranslational levels. The objectives of our research program have been accomplished and the results obtained exceeded our expectation. Our results reveal that fie and mea mutations cause parent-of-origin effects on seed development by distinct mechanisms (Publication 1). Moreover our data show that FIE has additional functions besides controlling the development of the female gametophyte. Using transgenic lines in which FIE was not expressed or the protein level was reduced during different developmental stages enabled us for the first time to explore FIE function during sporophyte development (Publication 2 and 3). Our results are consistent with the hypothesis that FIE, a single copy gene in the Arabidopsis genome, represses multiple developmental pathways (i.e., endosperm, embryogenesis, shot formation and flowering). Furthermore, we identified FIE target genes, including key transcription factors known to promote flowering (AG and LFY) as well as shoot and leaf formation (KNAT1) (Publication 2 and 3), thus demonstrating that in plants, as in mammals and insects, PcG proteins control expression of homeobox genes. Using the Yeast two hybrid system and pull-down assays we demonstrated that FIE protein interact with MEA via the N-terminal region (Publication 1). Moreover, CURLY LEAF protein, an additional member of the SET domain family interacts with FIE as well. The overlapping expression patterns of FIE, with ether MEA or CLF and their common mutant phenotypes, demonstrate the versatility of FIE function. FIE association with different SET domain polycomb proteins, results in differential regulation of gene expression throughout the plant life cycle (Publication 3). In vitro interaction assays we have recently performed demonstrated that FIE interacts with the cell cycle regulatory component Retinobalsoma protein (pRb) (Publication 4). These results illuminate the potential mechanism by which FIE may restrain embryo sac central cell division, at least partly, through interaction with, and suppression of pRb-regulated genes. The results of this program generated new information about the initiation of reproductive development and expanded our understanding of how PcG proteins regulate developmental programs along the plant life cycle. The tools and information obtained in this program will lead to novel strategies which will allow to mange crop plants and to increase crop production.
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Birchmore, Roger. Medium-density Dwellings in Auckland and the Building Regulations. Unitec ePress, July 2018. http://dx.doi.org/10.34074/ocds.0822.
Full textAbstract:
National thermal standards have historically been set to minimise winter heating energy in detached houses. It is uncertain whether these standards are optimal for the increasing number of joined, medium-density dwellings when summer and winter conditions are considered. Using freely available software, annual heating energy use and summertime peak temperatures were calculated for a number of versions of detached and joined dwellings offering the same occupied volume and window areas. Initial results indicated that, as expected, the joined dwellings required less heating energy. The detached house exhibited a higher peak summertime temperature but a lower overall average daily temperature. Interventions such as changing insulation, glazing areas and ventilation were calculated to reduce summertime temperatures in the joined dwelling. Increasing ventilation provided the greatest improvement particularly during the sensitive sleeping hours. Changes to clauses H1 Energy Efficiency, G4 ventilation and G6 Airborne and Impact Sound are recommended if these early findings are confirmed in a more complex simulation.