SOX 404 definition

SOX 404. Shall have the meaning set forth in Section 24.1 (Financial Compliance).
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SOX 404 has the meaning set forth in Section 23.1 (Financial Compliance).
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SOX 404. Has the meaning set forth in Section 14 (Financial Compliance) of this Agreement. State: Has the meaning set forth in Section 12(e) (Seller As An Agency of the State).
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Examples of SOX 404 in a sentence

  • The Company follows Sarbanes-Oxley (SOX) 404 and other applicable requirements with respect to our income tax and indirect tax processes.

  • We focus on the bunching period of 2003 to 2007 to identify the combined value of SOX 404 internal control exemption plus delayed filing of 10-Ks and 10-Qs. Our non-bunching period is 1994 to 2002.Last, we analyze firms’ bunching around the $700m threshold for Emerging Growth Company status.

  • Panel A reports the results for surveyed SOX 404 compliance costs.

  • We obtain an estimate of 0.456 when looking at the total SOX 404 compliance costs in column 5, which we use as our estimate of κ.

  • The indifference condition of this marginal firm implies that the annual regulatory costs associated with SOX 404 compliance and accelerated filing are$0.122 million per year.

  • This thresh- old relates to the regulatory costs of SOX 404 and accelerated filing deadlines.

  • For the marginal firm bunching for the $75m threshold, annual SOX 404 compliance and accelerated filing cost 0.1% of its total assets, 1.3% of EBITDA, and 6.3% of net income.

  • For example, for the median U.S. firm with a public float of $102m, it faces annual enhanced disclosure costs of $0.045m, SOX 404 compliance costs of $0.126m, and combined costs of disclosure and internal governance captured by EGC benefits of $0.293m.

  • We match these firms to Jay Ritter’s IPO database to identify the year a firm went public.10 To estimate the cost structure of regulatory costs, we obtain audit fees data from Audit Analytics and SOX 404 compliance costs data reported in a SEC survey SEC (2011).

  • Our number is smaller because scaled disclosure does not cover all disclosure items.36 In addition, our estimate captures the net disclosure cost after taking into account the potential benefits of enhanced disclosure available to firms.Second, we estimate the net benefits of SOX 404 exemption to be $0.122m per year for the marginal bunching firm with a $94.6m float.


More Definitions of SOX 404

SOX 404 is defined in Section 19.11(a) below.
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SOX 404. Shall have the meaning set forth in Section 3.2(I)(1) (Financial Compliance).
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SOX 404 shall have the meaning assigned to such term in Section 8.
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SOX 404 has the meaning set forth in Section 17.10(A) (Financial Compliance).
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Related to SOX 404

  • NI 62-104 means National Instrument 62-104 – Take-Over Bids and Issuer Bids;

  • MI 62-104 means Multilateral Instrument 62-104 — Take-Over Bids and Issuer Bids, as amended or replaced from time to time;

  • Section 404 Report means management’s report on “internal control over financial reporting” as defined by the SEC and the related attestation report of the independent certified public accountant as described in Section 3(A)(1).

  • GLJ Report means the independent engineering reserves evaluation of certain oil, NGL and natural gas interests of the Company prepared by GLJ dated February 11, 2022 and effective December 31, 2021.

  • NI 52-110 means National Instrument 52-110 – Audit Committees.

  • Monitoring and reporting requirements means one or more of

  • O. Reg. 419/05 means the Ontario Regulation 419/05, Air Pollution – Local Air Quality.

  • CREFC® Advance Recovery Report A monthly report substantially in the form of, and containing the information called for in, the downloadable form of the “Advance Recovery Report” available as of the Closing Date on the CREFC® Website, or such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CREFC® for commercial mortgage securities transactions generally.

  • Officer’s Compliance Certificate means a certificate of the chief financial officer or the treasurer of the Borrower substantially in the form attached as Exhibit F.

  • Broad-Based Black Economic Empower-ment Act means the Broad-Based Black Economic Empowerment Act, 2003 (Act No. 53 of 2003);

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.

  • Broad-Based Black Economic Empowerment Act means the Broad-Based Black Economic Empowerment Act, 2003 (Act No. 53 of 2003);

  • SOX means the Xxxxxxxx-Xxxxx Act of 2002, as amended.

  • MI Report means a report containing Management Information submitted to the Authority in accordance with Framework Schedule 8 (Management Information);

  • Semi-Annual Servicer’s Certificate is defined in Section 4.01(c)(ii) of the Servicing Agreement.

  • Form 4224 means Form 4224 (Exemption from Withholding of Tax on Income Effectively Connected with the Conduct of a Trade or Business in the United States) of the Department of the Treasury of the United States of America (or in relation to either such Form such successor and related forms as may from time to time be adopted by the relevant taxing authorities of the United States of America to document a claim to which such Form relates).

  • Financial Monitoring Report or “FMR” means each report prepared in accordance with Section 4.02 of this Agreement;

  • NI 81-106 means National Instrument 81-106 Investment Fund Continuous Disclosure;

  • NI 45-106 means National Instrument 45-106 – Prospectus and Registration Exemptions;

  • NI 52-109 means National Instrument 52-109 – Certification of Disclosure in Issuers’ Annual and Interim Filings;

  • ESDM Report means the Emission Summary and Dispersion Modelling Report prepared in accordance with the Procedure Document by Envision Compliance and dated July 3, 2007 submitted in support of the application, and includes any amendments to the ESDM Report listed in Schedule A and all up-dated ESDM Reports prepared as required by the Documentation Requirements conditions of this Certificate.

  • Reporting Requirements As defined in Section 11.15.

  • Compliance Department means the Chief Compliance Officer of Federated and those other individuals designated by him or her as responsible for implementing this Code and the Associated Procedures.

  • QA/QC means quality assurance/quality control.

  • Tax Compliance Certificate as defined in Section 5.9.2(b)(iii).

  • Form 1001 means Form 1001 (Ownership, Exemption, or Reduced Rate Certificate) of the Department of the Treasury of the United States of America and (D) "Form 4224" shall mean Form 4224 (Exemption from Withholding of Tax on Income Effectively Connected with the Conduct of a Trade or Business in the United States) of the Department of the Treasury of the United States of America (or in relation to either such Form such successor and related forms as may from time to time be adopted by the relevant taxing authorities of the United States of America to document a claim to which such Form relates). Each of the Forms referred to in the foregoing clauses (C) and (D) shall include such successor and related forms as may from time to time be adopted by the relevant taxing authorities of the United States of America to document a claim to which such Form relates.