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- 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...
- 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...
- 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...
- 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...
- 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...
- 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”...
- 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...
- 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, ...
- White papers 2002-12-06
Additional Resources
- Telos wins another round in Baltimore City Circuit Court
- Defense contractor Telos Corp. was jubilant this spring, when it defeated a $79 million lawsuit challenging the actions of its board and management. It didn't have long to celebrate, though. One day after the April 15 ruling in Baltimore City Circuit Court,...
- Articles 2008-07-10
- Maryland Court Issues Injunction Against Activist Hedge Fund Officers Who Used Board Seats Improperly
- Judge Rules Directors Hamot and Siegel Put Own Interests Ahead of Fiduciary Responsibilities ASHBURN, Va. -- Judge Albert J. Matricciani, Jr., of The Circuit Court for Baltimore City, has issued a preliminary injunction ordering two officers of activist hedge fund Costa Brava Partnership III LP...
- Articles 2008-07-08
- The Qualified Legal Compliance Committee under Sarbanes-Oxley: enlisting independent directors to enhance corporate integrity
- INTRODUCTION The Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley) (1) imposes specific requirements on corporate attorneys that have broad implications on corporate governance and corporate organization. With the adoption of Sarbanes-Oxley, Congress and the SEC seek to limit corporate misconduct through two devices. First, they expand the accountability of corporate...
- Articles 2008-03-22
- EIGHTH ANNUAL A.A. SOMMER, JR. LECTURE ON CORPORATE, SECURITIES, AND FINANCIAL LAW[dagger], THE
- WELCOME DEAN TREANOR: Hello, everyone. My name is Bill Treanor. I'm the Dean of Fordham Law School. It's my incredible pleasure to welcome you to tonight's A.A. Sommer, Jr. Lecture. This is an event that speaks very profoundly to what the law school is about. We have...
- Articles 2008-03-01
- Will U.S. IPO swoon go global? While 2007 was a record-setting year for public stock offerings worldwide, the economic morass in the U.S. has created a far bleaker outlook for 2008. That's spurred some investors to consider alternative ways to go public.(IPOs)
- First the good news on initial public offerings: the world's financial markets are coming off a record-setting year. [ILLUSTRATION OMITTED] [ILLUSTRATION OMITTED] Through November 2007--and with December still not accounted for--more money was...
- Articles 2008-03-01
- McGuire drama not over; $600 million settlement reached, feds still probing.(Late News)
- Byline: Rebecca Vesely The landmark settlement of more than $600 million reached late last week between William McGuire and UnitedHealth Group-as well as a separate settlement with the Securities and Exchange Commission-isn't the end of the story. ...
- Articles 2007-12-10
- American Lawyer Investigation Reveals Steep Dropoff in Justice Department Corporate Fraud Prosecutions
- NEW YORK -- The American Lawyer today released the results of its independent investigation into the work of the Department of Justice's Corporate Fraud Task Force, revealing a precipitous decline in the number of major corporate fraud indictments since 2005. While the magazine's analysis shows 357 indictments...
- Articles 2007-11-01
- Commentary: With new rules come smarter lawyers
- Years ago, when asset protection planning was a new idea, many attorneys were suspicious. Some questioned ethics. How things have changed. Protecting business assets continues to be a hot topic, in part because of 2002's Sarbanes-Oxley Act. Corporations have increased...
- Articles 2007-10-25
- Drucker on the Boardroom: Writings from Personal Correspondence of Late Great Management Guru Reveal New Insight into Boards
- BOSTON -- If Peter Drucker were alive today, what would his advice to boards be? Newly compiled writings by the late great management guru show refreshing clarity relevant to today's top business leaders. Elizabeth Haas Edersheim, who collaborated often with Drucker before his death in 1995, writes...
- Articles 2007-10-25
- Redpoint Bio Appoints New Board Members
- EWING, N.J. -- Redpoint Bio Corporation (OTCBB: RPBC), a company developing compounds to improve the taste of pharmaceutical, food and beverage products, today announced the appointment of Allen Bloom, Ph.D., Irwin Scher, M.D., and Richard P. Shanley, CPA, to the Company's Board of Directors, bringing the Board...
- Articles 2007-09-12
- Stewardship in Action
- Maximizing asset productivity. It is widely accepted the public company scandals that gave rise to the Sarbanes-Oxley Act of 2002 raised the bar on governance performance and accountability for all boards. Most Sarbanes-Oxley provisions, however, do not apply directly to nonprofit boards. And, according to Healthcare attorneys Frederic J. Entin,...
- Articles 2007-09-01
- Fraud by the numbers
- THIS YEAR MARKS NOT ONLY THE FIVE-YEAR ANNIVERSARY of the Sarbanes-Oxley Act but the same milestone for the President's Corporate Fraud Task Force. Announced in July 2002, the task force is chaired by Deputy Attorney General Paul J. McNulty and includes senior Department of Justice officials and seven U.S. attorneys,...
- Articles 2007-09-01
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