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10 Sep 2012, 2:13 am
In addition, it alleges that former CEO Robert Pedersen and current CFO Brandon O’Brien signed "materially false and/or misleading" Sarbanes-Oxley certifications (paragraph 34 to 40). [read post]
11 Jun 2007, 4:35 pm
" As such, it is obviously part of Edison's Sarbanes-Oxley Section 301 compliance efforts. [read post]
10 Nov 2010, 4:15 am
Brooks, former CFO Dawn Schlegel, and other former officers and directors of the company. [read post]
25 Nov 2018, 9:01 pm
The Sarbanes-Oxley Act of 2002 (SOX) prohibits issuers from retaliating against whistleblowers. [read post]
20 Jul 2021, 8:48 am
It also proposed companies must submit IPO materials to the Office of Cybersecurity Review for review ahead of listing. [read post]
5 Jul 2015, 3:28 pm
Discussion As required by the Dodd-Frank Act, these proposed rules are considerably broader than the existing executive compensation clawback requirements under the Sarbanes-Oxley Act. [read post]
3 Nov 2014, 6:37 am
The court reversed that one, 9-0.The facts of the case: Yates was captaining the 47-foot "Miss Katie" in 2007 when a state conservation officer with federal enforcement power boarded, measured some 3,000 pounds of fish and found 72 grouper under the 20-inch minimum. [read post]
28 Apr 2014, 11:11 am
, without having to pay the usual fees, due to his penury), which was prepared by the public defender's office. [read post]
18 Aug 2009, 3:42 am
The mode of appointment specified in the Sarbanes-Oxley Act under which Board members are appointed by the SEC would be permissible only if the members are inferior officers within the meaning of the Appointments Clause, noted the brief, which they are not. [read post]
22 Dec 2016, 9:26 am
One of those additional categories of disqualification comes from the Sarbanes-Oxley Act. [read post]
21 Mar 2012, 5:55 pm
Like other public companies. emerging growth companies must comply with Regulation FD’s prohibition on selective disclosure of material nonpublic information.On ramp companies must still comply with Section 404(a) of Sarbanes-Oxley and,thus, Certifying officers are responsible for establishing, designing and maintaining effective internal controls, must annually assess and report on the effectiveness of the internal controls, and must disclose any change in the… [read post]
8 Feb 2007, 11:39 am
With recent cases ruling that officers and directors are not covered for shareholder claims arising from failure to disclose environmental liabilities, the need for director understanding and involvement in financial disclosure is imperative. [read post]
15 Oct 2007, 11:00 pm
She delivered the keynote address at a Sarbanes-Oxley conference hosted by the New York Stock Exchange in 2003 (there are video clips of it on her website, www.lynnbrewer.info). [read post]
23 May 2013, 4:23 am
This provision was required to be adopted by Congress in Section 306 of Sarbanes-Oxley to address the issue that employees of Enron had when they couldn't sell company securities because of a change in employee benefit plan administrators and Enron's share price was dropping significantly. [read post]
16 Aug 2022, 9:05 pm
In the remainder of the paper, I analyze how the increased attention to reporting irregularities following Sarbanes-Oxley changed the role of local offices of auditors – from spreading the practice to extinguishing it. [read post]
21 Mar 2007, 5:55 am
After seeing the white powder, Bridgeman-Oxley said she “panicked a little bit. [read post]
12 Jan 2024, 3:08 am
That’s the question the Court faces in the case of Jatonya Muldrow, an intelligence officer in the St. [read post]
23 Oct 2006, 12:06 pm
PCAOB, DC of DC, No. 1:06CV00217The Appointments Clause divides all officers of the US into two categories: principal officers who are appointed by the President with senatorial advice and consent; and inferior officers who may be appointed by Heads of Departments. [read post]
24 Nov 2009, 12:59 pm
The Complaint In the SEC's complaint, it was alleged that the defendants, including SafeNet's former chairman and chief executive officer, chief financial officer, comptroller and director of external reporting, knew that SafeNet would be unable to meet its earnings targets as communicated to the market. [read post]
24 Nov 2009, 12:59 pm
The Complaint In the SEC's complaint, it was alleged that the defendants, including SafeNet’s former chairman and chief executive officer, chief financial officer, comptroller and director of external reporting, knew that SafeNet would be unable to meet its earnings targets as communicated to the market. [read post]
