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attorney and regulations

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SEC Adopts Final Attorney Conduct Rules
On January 29, 2003, the Securities and Exchange Commission ("SEC") adopted final rules implementing standards of professional conduct for attorneys pursuant to Section 307 of the Sarbanes- Oxley Act of 2002 ("SOX"). The final rules require that if an attorney, appearing and practicing before the SEC in the representation of...
Tags: Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, U.S., Quality, Real Estate, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Regulations
White papers 2003-05-01
SEC Rules Under Sarbanes-Oxley Section 307
The Securities and Exchange Commission SEC seeks to streamline professional conduct for attorneys. It has issued rules governing professional responsibilities for attorneys. It also lays down ‘minimum standards’ of professional conduct for attorneys appearing or practicing before the SEC. These rules are contained in a recently passed Act. The paper...
Tags: Quality, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act
Presentations 2003-02-14
SEC Adopts Final Rules of Conduct for Attorneys Under the Sarbanes-Oxley Act
This article contains that after receiving 167 timely filed comment letters to its controversial proposed rules, the SEC adopted final rules implementing Section 307 of the Sarbanes-Oxley Act. This report discusses some of the major components of the final SEC rules. It also contains features such as scope of the...
Tags: Regulatory Compliance, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act
White papers 2003-02-13
SEC Adopts Final Rules Implementing Section 307 Of The Sarbanes-Oxley Act Of 2002
A recent Act adopted by Securities and Exchange Commission SEC seeks to streamline professional conduct for attorneys. It contains rules governing professional responsibilities for attorneys. It also lays down ‘minimum standards’ of professional conduct for attorneys appearing or practicing before the SEC. The paper examines these issues contained in the...
Tags: Policies And Procedures, Human Resources, Finance, Financial Accounting, Government, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act, Business Operations, Regulations, Quality
White papers 2003-02-14
SEC Final Rules Under Sarbanes-Oxley
This article highlights the provisions and the dates for compliance that boards and executives need to know about Sarbanes-Oxley Act. The focus is on issues such as: Audit committee financial expert, under section 407 rules mandates that public companies are required to disclose whether or not they have an audit...
Tags: Financial Accounting, Financial Expert, Attorney, Audit Committee, SEC, Sarbanes-Oxley Act, Financial, Audit, Sarbanes-Oxley, Finance, Regulations, Government
White papers 2003-02-01
SEC Adopts Standards of Professional Conduct for Attorneys Under Sarbanes-Oxley Act
Securities and Exchange Commission SEC has adopted standards of professional conduct for attorneys appearing and practicing before the SEC. In adopting these rules, as mandated by Section 307 of the Sarbanes-Oxley Act of 2002 the Act, the SEC recognized the important and expanding role of attorneys in their representation of...
Tags: Regulatory Compliance, Sarbanes-Oxley, Corporate Governance, Attorney, Standards, SEC, Sarbanes-Oxley Act, Corporate Law, Quality, Regulations, Business Operations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures
White papers 2003-02-05
Attorneys Don't Get A Pass From Sarbanes-Oxley
From the executive summary: ‘As a part of sweeping corporate governance reforms mandated by the Sarbanes-Oxley Act of 2002, the Securities and Exchange Commission SEC adopted ethical rules for attorneys who represent public companies and their non-public subsidiaries. The SEC rules make it clear that “attorneys cannot get a pass”...
Tags: Financial Accounting, Government, Finance, Human Resources, Policies And Procedures, Business Operations, Corporate Law, Sarbanes-Oxley Act, Regulations, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Reed Elsevier Inc., Corporate Governance
White papers 2003-01-01
SEC Adopts Final Rules Related to Professional Conduct for Attorneys
The SEC adopted final rules pursuant to Section 307 of the Sarbanes-Oxley Act, establishing standards of professional conduct for attorneys who appear and practice before the SEC on behalf of public companies. The new rules are contained in SEC Release No. 33-8185. Article explains the attorneys covered by the rules....
Tags: Sarbanes-Oxley, Regulatory Compliance, Quality, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, SEC, Article, Attorney
White papers 2003-01-01
The Sarbanes-Oxley Act of 2002 - Implications For Corporate Officers and directors
The Sarbanes-Oxley Act of 2002 (also known as the Public Company Accounting Reform and Investor Protection Act of 2002) (the “Act”) was signed into law on July 30, 2002 ostensibly in response to the recent financial debacles of certain public companies. The Act was designed primarily as a prophylactic measure...
Tags: Business Operations, Policies And Procedures, Human Resources, Regulations, Financial Accounting, Litigation, Regulatory Compliance, Sarbanes-Oxley, Investor Protection Act, Attorney, Fraud, SEC, Finance, Government, Sarbanes-Oxley Act, Financial
White papers 2003-01-01
Implementation Of Standards of Professional Conduct For Attorneys Required By Section 307 Of The Sarbanes-Oxley Act
Article focuses on the proposed rule of implementing the standards of professional conduct for attorneys required by section 307 of the Sarbanes-Oxley Act. It provides the information related to different section considered under the Act such as : Section 205.3: Issuer as Client Section, 205.4: Responsibilities of Supervisory Attorneys, ...
Tags: Quality, Human Resources, Business Operations, Policies And Procedures, Regulatory Compliance, Finance, Financial Accounting, Government, Regulations, Sarbanes-Oxley, Attorney, Standards, Sarbanes-Oxley Act
White papers 2002-12-06

Additional Resources

Bank of America to buy back risky securities
WASHINGTON AP -- Bank of America Corp. has agreed to buy back up to $4.7 billion in auction-rate securities to settle charges it misled thousands of customers about the risky investments, federal and state regulators said Wednesday. The regulators also announced similar settlements with RBC Capital Markets...
Articles 2008-10-09
Ingham Circuit Court Agrees with Blue Cross Blue Shield of Michigan on Two Counts of Attorney General's Lawsuit
DETROIT, Oct. 7 /PRNewswire/ -- A ruling by Ingham County Circuit Court Judge Paula Manderfield today validates arguments by Blue Cross Blue Shield of Michigan BCBSM that the Michigan Insurance Commissioner should determine the appropriateness of a $125 million capital transfer from Blue Cross to its Accident Fund Insurance...
Articles 2008-10-07
Week in Review - Legal Edition
Court hears battle over religious billboard The hot-button issue of religious expression came before the Court of Appeals as attorneys clashed over whether local officials violated federal law in rejecting a church's request to erect a large electrical sign adjacent to the Baltimore Beltway. Attorney C....
Articles 2008-10-06
Federal judge in Baltimore says probation before judgment bars
A Frederick County doctor was properly disqualified from participating in federal health care programs because of a "conviction" for molesting two female patients, a federal judge in Baltimore has affirmed. Dr. Michael S. Rudman argued that he was not convicted because his plea deal resulted in probation...
Articles 2008-10-03
Maryland Court of Appeals hears battle over religious billboard
The hot-button issue of religious expression came before the Court of Appeals on Thursday, as attorneys clashed over whether local officials violated federal law in rejecting a church's request to erect a large electrical sign adjacent to the Baltimore Beltway. Attorney C. William Clark said Baltimore County's...
Articles 2008-10-03
California Real Estate Attorney Issues Warning to Real Estate Brokers Based on Recent HUD RESPA Policy
New 'White Label' Reports Produced by Title Companies are being Sold to Consumers as Original Real Estate Brokerage Research WALNUT CREEK, Calif., Oct. 3 /PRNewswire/ -- California Real Estate Attorney Craig Nevin of Nevin, Ramos & Steele today warned California real estate brokers that issuing white label...
Articles 2008-10-03
New, controversial FBI guidelines go into effect
WASHINGTON AFP — US Attorney General Michael Mukasey has signed new guidelines for FBI operations he said are designed to better protect the country from terrorist attacks, but that raise concern of some lawmakers and civil rights groups. "These guidelines provide more uniform, clearer and simpler rules for...
Articles 2008-10-03
Two Texas men held over for trial in Top Flight Insurance case in
Two Texas men have been bound over for trial for allegedly operating a money-transfer scheme that also involved inflating Top Flight Insurance Co.'s assets to deceive insurance regulators as to the solvency of the company. Jimmy Warren Wolff and Rodney Alfred Williams, principals in Top Flight Insurance,...
Articles 2008-10-02
Pacific Legal Foundation Lawsuit Challenges Polar Bear ESA Listing
Polar bears aren't endangered - it's the economy that's threatened, say PLF attorneys WASHINGTON -- Attorneys with Pacific Legal Foundation, the nation's leading legal watchdog for property rights and a balanced approach to environmental protection, today filed a lawsuit challenging the federal government's listing of the polar bear...
Articles 2008-10-02
California legislators back Google-Yahoo online ad deal
SAN FRANCISCO AFP — Eleven California state political leaders are urging US regulators not to interfere with a proposed online advertising tie-up between Google and Yahoo. The legislators, from the state where both the Internet titans are based, signed a letter warning US Attorney Michael Mukasey that Internet...
Articles 2008-09-30
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