Search for: "Officer Oxley"
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19 Dec 2022, 5:01 am
Prosecutors leveled this charge against Miller (who hails from Texas) and Fischer (a police officer from Pennsylvania), as well as Edward Jacob Lang (who hails from the Hudson Valley but was not present at court that day), for storming the Capitol on Jan. 6, 2021, to halt or delay the joint session of Congress and its certification of the Electoral College’s votes. [read post]
17 Nov 2022, 1:14 pm
” The report also notes that during the fiscal year, the SEC’s Office of the Whistleblower issued approximately $229 million in 103 awards, making FY 2022 the second highest in terms of dollar amounts and number of awards. [read post]
30 Oct 2022, 6:32 am
Through this action, Congress built upon the earlier requirements they passed as part of the Sarbanes-Oxley Act in 2002, which requires chief executive officers and chief financial officers who commit misconduct in connection with their companies’ financials to return incentive-based pay from the previous 12 months. [read post]
28 Oct 2022, 8:43 am
The shareholder alleged that Gulfport Energy Corp. and its former officers violated federal securities laws by making materially false and misleading statements concerning the manner in which they accounted for their oil and gas properties in Eastern Ohio and Central Oklahoma. [read post]
7 Sep 2022, 9:01 pm
In recognition of the importance of high-quality audits, both domestically and abroad, Congress has taken significant action on at least two occasions in the past twenty years—with the Sarbanes-Oxley Act of 2002 (“SOX”)[6] and the Holding Foreign Companies Accountable Act (“HFCAA”) in 2020[7]—to provide centralized oversight and standards for the accounting profession that audits public companies (and registered broker-dealers) and to enhance the… [read post]
1 Sep 2022, 1:33 pm
” The senior manager filed a complaint with OSHA’s Chicago Regional Office, which also investigated the case. [read post]
30 Aug 2022, 1:59 pm
Bainbridge, Stephen Mark, Sarbanes-Oxley § 404 at Twenty (August 26, 2022). [read post]
29 Aug 2022, 8:43 am
Contact our office today. [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]
12 Aug 2022, 3:09 pm
Sec. 1519 was originally enacted in the wake of the Enron and Worldcom corporate scandals as part of the Sarbanes-Oxley Act of 2002. [read post]
22 Jul 2022, 5:07 am
The SEC Historical Society panelists noted some of the lasting results of the Sarbanes-Oxley Act. [read post]
6 Jul 2022, 6:21 am
Sarbanes-Oxley After major financial scandals, including the fall of Enron in 2001, Tyco International, and WorldCom, Congress passed the Sarbanes-Oxley Act of 2002 (SOX). [read post]
18 Jun 2022, 6:30 am
According to SEC Chair Gary Gensler, “[w]e have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 2002. [read post]
18 Jun 2022, 6:30 am
According to SEC Chair Gary Gensler, “[w]e have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 2002. [read post]
13 Jun 2022, 9:01 pm
Executive officers include all of a company’s Section 16 officers, including the company’s principal accounting officer. [read post]
27 May 2022, 3:30 pm
[Pretty obvious, I think, but helpful to see a specific case on the subject. ] From the Iowa Supreme Court's opinion (written by Justice Dana Oxley) in Iowa Supreme Court Att'y Discip. [read post]
11 May 2022, 8:40 am
Corruptly Influencing an Official Proceeding Enacted with the Sarbanes-Oxley Act of 2002, 18 U.S.C. [read post]
28 Apr 2022, 4:17 pm
They included FDA’s top official, then-acting Commissioner Janet Woodcock, Susan Mayne, director of the Center for Food Safety and Applied Nutrition, Judy McMeekin, associate commissioner for Regulatory Affairs, and Catherine Hermsen, assistant commissioner of the agency’s Office of Criminal Investigations. [read post]
12 Apr 2022, 9:01 pm
Further, placing disclosures in filings also benefits investors because there are more controls around those disclosures, with a framework required from Section 302 of the Sarbanes-Oxley Act of 2002. [read post]
11 Apr 2022, 9:01 pm
Corporate insiders should be especially mindful of their market activities and their obligations to keep MNPI confidential and to refrain from illegal securities trading.Beginning December 15, 2021, the SEC proposed a slate of new rules and disclosure requirements intended to address what it perceives as potentially abusive practices engaged in by public companies, directors and officers relating to Rule 10b5-1 trading plans. [read post]
