SEC Speech: Disaster Recovery and Business Continuity Planning ...
Jun 5, 2003 . However, until recently, planning focused on localized disasters or . The SEC and other financial regulatory agencies have participated in .
http://www.sec.gov/news/speech/spch050103mag.htm

 

sec regulations for disasters

Robert T. Stafford Disaster Relief and Emergency Assistance - FEMA
Sec. 701. Rules and Regulations (42 U.S.C. 5201) ...................................................... .........68. Sec. 705. Disaster Grant Closeout Procedures (42 U.S.C. 5205) .
http://www.fema.gov/pdf/about/stafford_act.pdf

 

9 Answers

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SBA Disaster Loan Program CFR Section 123
Sec. 123.1 What do these rules cover? This part covers the disaster loan programs authorized under the Small Business Act, 15 U.S.C. 636(b), (c), and (f).
http://www.disastercenter.com/laworder/sbaloan.htm

Sec. 5321.* Suspension of requirements for disaster areas [* Section ...
For funds designated under this chapter by a recipient to address the damage in an area for which the President has declared a disaster under title IV of the .
http://portal.hud.gov/hudportal/HUD/program_offices/comm_planning/communitydevelopment/rulesandregs/laws/sec5321



Chapter 15 - Disaster Relief - U.S. Code
1125, Sec. 5, 64 Stat. 1110, directed the President to coordinate disaster assistance and to issue rules and regulations covering disaster relief. Section 1855e .
http://uscode.house.gov/download/pls/42C15.txt



Chapter 68 - Disaster Relief - U.S. Code
Excess disaster assistance payments as budgetary emergency requirements. . [Sec. 4. Revoked by Ex. Ord. No. 12148, Sec. 5-111, July 20, 1979, 44 F.R. .
http://uscode.house.gov/download/pls/42C68.txt



SEC & MMS: A Tale of Two Failures | Roosevelt Institute
How many disasters will it take to overhaul the regulatory agencies? The SEC and the Minerals Management Service's (MMS) share a number of characteristics .
http://www.rooseveltinstitute.org/new-roosevelt/sec-mms-tale-two-failures



42 USC 5321 - Sec. 5321. Suspension of requirements for disaster ...
42 USC 5321 - Sec. 5321. Suspension of requirements for disaster areas - US Code - Title 42: The Public Health and Welfare - Chapter 69 - Community .
http://us-code.vlex.com/vid/suspension-requirements-disaster-areas-19248441

GOVERNMENT CODE CHAPTER 418. EMERGENCY MANAGEMENT
Sec. 418.004. DEFINITIONS. In this chapter: (1) "Disaster" means the occurrence . (b) Upon declaration of a state of disaster, enforcement of the regulation of .
http://www.statutes.legis.state.tx.us/Docs/GV/htm/GV.418.htm



Federal Aviation Regulation Sec. 91.138 - Temporary flight ...
The Federal Aviation Regulation Sec. 91.138 - Temporary flight restrictions in national disaster areas in the State of Hawaii.
http://www.risingup.com/fars/info/part91-138-FAR.shtml

New York-based Brokerage Firm
various SEC regulations and to have an adequate disaster recovery plan executed by appropriate hardware and software. In short, the brokerage firm needed a .
http://www.plasmon.com/downloads/pdf/nyc.pdf



Vector Capital case study Feb 2012
Feb 9, 2012 . investigated ways to implement a real disaster recovery plan. As a private equity company, Vector Capital is subject to SEC Rule 206(4)-7, .
http://www.nscaled.com/English/Collaterals/Case_Studies/nScaled_case_study_Vector_Capital.pdf

Business Continuity Plans (Disaster Recovery Plans) | Investment ...
Aug 24, 2010 . Under SEC Rule 206(4)-7 those managers will need to generally institute . will be to institute a business continuity or disaster recovery plan.
http://www.hedgefundlawblog.com/business-continuity-plans-disaster-recovery-plans-investment-adviser-registration.html



Federal Stafford Act Disaster Assistance: Presidential Declarations ...
The Robert T. Stafford Disaster Relief and Emergency Assistance Act (the . 56 Sec. 420 of the Stafford Act, 42 U.S.C. 5187. 57 Regulations are found at 44 .
http://www.fas.org/sgp/crs/homesec/RL33053.pdf

SEC Regulation S-P
The U.S. Securities and Exchange Commission (SEC) issued Regulation S-P on June . SEC Regulation S-P rules are intended to protect consumers against .
http://www.businessrecords.com/doc.asp?page=8&subpage=105



FDIC Law, Regulations, Related Acts - Consumer Protection
Aug 10, 2011 . SEC. 2. (a) The Congress finds that--. (1) annual losses throughout the . be indemnified for their losses in the event of future flood disasters.
http://www.fdic.gov/regulations/laws/rules/6500-3600.html



Professional Ethics
Since the Enron disaster, companies are required to demonstrate how they comply with SEC regulations. “Wal-Mart's Chief Executive Officer and Chief Financial .
http://phoenixbusiness.hubpages.com/hub/Professional-Ethics

U.S. Code - Title 22 Chapter (§5501 - §5513)
Sec. 5505. Disaster training for State Department personnel. Sec. 5506. . concerning the implementation of United States rules and regulations which affect the .
http://uscode.regstoday.com/22USC_CHAPTER64.aspx



ComplianceAlert - SEC
Mar 18, 2008 . This “ComplianceAlert” letter summarizes select areas that SEC examiners . with the federal securities laws and rules, and to identify deficiencies and . Most of the advisers examined had a written Disaster Recovery Plan in .
http://www.sec.gov/about/offices/ocie/complialert.htm

Whitepaper on Trends in Business Continuity and Risk Management
In the past twenty years, the numbers of disasters in the United States, and . state specific insurance laws, Basel II, FERC, SEC regulations and European .
http://www.idsemergencymanagement.com/Common/Paper/Paper_132/Trends%20in%20Business%20Continuity.htm

Marcus Geduld
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Federal Aviation Regulation Sec. 91.137 - Temporary flight ...
The Federal Aviation Regulation Sec. . Federal Aviation Regulations . Sec. 91.137 — Temporary flight restrictions in the vicinity of disaster/hazard areas.
http://www.risingup.com/fars/info/part91-137-FAR.shtml

FINRA - Business Continuity
SEC Approval and Effective Dates for New Consolidated FINRA Rules . Program; 3/21/02: NASD Board Approves Disaster Recovery Business Continuity Plan .
http://www.finra.org/Industry/Issues/BusinessContinuity/

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Sec. 226.23 - Regulation Z - Truth in Lending
Sec. 226.23 Right of rescission. The Federal Reserve Board's Regulation Z (12 . a major disaster area because of severe storms and flooding in the Midwest.
http://www.bankersonline.com/regs/226/226-23.html

Mike Leary
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REPORT OF THE STAFFORD ACT REFORM TASK FORCE
telecommunications, after a catastrophic disaster to allow them to provide critically needed services as quickly as possible (Sec 427);. • Expand regulatory .
http://www.usmayors.org/pressreleases/uploads/StaffordActReformTaskForceReport.pdf



26 USC 5064 - Sec. 5064. Losses resulting from disaster, vandalism ...
(3) Special rules for major disasters If the President has determined under the . Emergency Assistance Act, which is classified principally to chapter 68 (Sec.
http://us-code.vlex.com/vid/resulting-vandalism-malicious-mischief-19210883

TECHNICAL EXPLANATION OF H.R. 7006, THE “DISASTER TAX ...
Sep 24, 2008 . D. Special Rules for Mortgage Revenue Bonds in Federally Declared Disaster Areas. (sec. 5 of the bill and sec. 143 of the Code) .
http://www.jct.gov/publications.html?func=startdown&id=1265



Recent Business Continuity Planning (BCP) Regulations, Audit ...
Some Recent changes in BCP Regulations and Standards . Huge disasters (9/ 11, tsunami, recent hurricanes, fires, blackouts, etc) . SEC regulations (for .
http://www.acpoc.com/events/documents/ACPMeetingBCPEYPresentation0114.pdf

Business Continuity Plans
A. Securities and Exchange Commission (“SEC”) Rules, Regulations and. Commentary . or related services after a disaster or disruption occurs. 2. Interagency .
http://www.bingham.com/Media.aspx?MediaID=3192



The SEC still needs to escape regulatory capture - CNN Money
Jul 30, 2010 . The SEC still needs to escape regulatory capture. . The BP (BP) disaster and Mineral Management Service's coziness with BP showed the .
http://money.cnn.com/2010/07/30/markets/SEC_regulatory_capture.fortune/index.htm

The SEC still needs to escape regulatory capture - CNN Money
Jul 30, 2010 . The SEC still needs to escape regulatory capture. . The BP (BP) disaster and Mineral Management Service's coziness with BP showed the .
http://money.cnn.com/2010/07/30/markets/SEC_regulatory_capture.fortune/index.htm



Pub. L. 111-240 - GPO
Subtitle E--Disaster Loan Improvement Sec. 1501. Aquaculture business disaster assistance. Subtitle F--Small Business Regulatory Relief Sec. 1601.
http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=111_cong_public_laws&docid=f:publ240.111




http://en.wikipedia.org/wiki/Imp...
Jack Solomon
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Community Development Laws and Regulations/U.S. Department of ...
The rules and regulations governing the activites of Community Development programs are broken . Sec. 5321- Suspension of requirements for disaster areas .
http://portal.hud.gov/hudportal/HUD/program_offices/comm_planning/communitydevelopment/rulesandregs

HP IP Distance Gateway
US regulations such as SEC 17a-4, Sarbanes Oxley section 404, and HIPAA are driving the . against regional issues (power grid failures, natural disasters…).
http://h18000.www1.hp.com/products/quickspecs/12692_div/12692_div.pdf



Financial Reporting Implications of Disasters
Some disasters may result in the SEC's providing broad-based filing or other relief from various regulatory requirements. For example, on September 15, 2005 , .
http://www.deloitte.com/assets/Dcom-UnitedStates/Local%20Assets/Documents/AERS/ASC/us_assur_Practice_Guide_040611.pdf



50 ILCS 122/ Local Government Disaster Service Volunteer Act.
Sec. 1. Short title. This Act may be cited as the Local Government Disaster . This Act applies to all counties, municipalities, townships, and home rule units that, .
http://www.ilga.gov/legislation/ilcs/ilcs3.asp?ActID=693&ChapterID=11

DISASTER RELIEF --- CURRENT DEVELOPMENTS
section 139, which defines qualified disasters and provides that disaster relief . IRC Sec. 139 - Disaster relief payments. General Rule. Definition: Qualified .
http://www.irs.gov/pub/irs-tege/eotopicm03.pdf



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Enron, WorldCom, and the Other Disasters
strange reward for the failure of the SEC to uncover any of the major recent accounting violations. The act also makes some minor changes in audit rules and .
http://www.cato.org/pubs/handbook/hb108/hb108-22.pdf

H. R. 6124
Plant pest and disease management and disaster prevention. Sec. 10202. National Clean Plant Network. Sec. 10203. Plant protection. Sec. 10204. Regulations .
http://www.usda.gov/documents/Bill_6124.pdf



Electronic Document Regulatory Compliance - HIPAA, Sabanes ...
Disaster Recovery-Electronic documents can be backed up and copies made for . The SEC 17a-4 rule [for brokers and dealers] stipulates they must store their .
http://www.docuvision.com/electronic-document-complience/electronic-document-complience.cfm



Regulating disaster recovery | Internal Auditor | Find Articles
Regulating disaster recovery from Internal Auditor. . can result from non- compliance with laws and regulations governing disaster recovery planning. . corrective action and to keep the SEC apprised of "the market risks associated with any .
http://findarticles.com/p/articles/mi_m4153/is_n6_v54/ai_20332299/



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SURVEY ON SEC MMF REGULATORY REFORM COSTS AND ...
Jan 10, 2012 . ICD conducted the New SEC Regulatory Reform. Survey to . Funds: A Disaster On All Fronts” . the pending regulations on the SEC's docket.
http://www.icdportal.com/downloads/ICD-Commentary_Costs_and_Consequences.pdf



Regulatory Compliance Demystified
Administrative Safeguards contain rules to establish and enforce company privacy policies and procedures (for example, disaster recovery and contingency .
http://msdn.microsoft.com/en-us/library/aa480484.aspx



Top 8 Best Practices for New SEC Regulation Surrounding Risk ...
New regulations by the SEC require registrant companies to publicly disclose . from natural disasters, political risk, product quality, financial misstatement, legal .
http://www.amllp.com/resources/issues-insights/item/332-risk-oversight-new-sec-regulation



15 USC Chapter 14A - AID TO SMALL BUSINESS | LII / Legal ...
Annual reports on disaster assistance. 657p. Outreach regarding health insurance options available to children. 657q. Consolidation of contract requirements.
http://www.law.cornell.edu/uscode/text/15/chapter-14A



PART 312—USE OF CIVIL DEFENSE PERSONNEL, MATERIALS
L. 97–86; sec. . The purpose of the regulations in this part is to prescribe the terms and conditions under which civil defense . as amended, 50 U.S.C. App. 2251, et seq., hereinafter referred to as “the Act”, may be used for natural disasters, .
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=44:1.0.1.6.70&idno=44


What is Karma?
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AIMD-95-22 Financial Markets: Stronger System Controls and ...
contingencies and disasters, we interviewed senior officials in SEC's. Division of Market Regulation and obtained a chronology of events and supporting .
http://www.gao.gov/assets/230/220638.pdf


SEC 17a-4 Overview
SEC 17a-4 : ELECTRONIC BOOKS AND RECORDS RULE. In 1934, in an . management, and a parallel mail system for disaster response. ZL Technologies .
http://www.zlti.com/content/docs/Rules%20and%20Regulations/ZL_RR_SEC17a-4.pdf

Hemant Puthli
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