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6 Dec 2011, 6:48 am
Back in September, I posted about Eileen Foster and the re-telling of her story by the Center for Public Integrity. 60 Minutes has picked up on the story. [read post]
25 Jan 2008, 1:11 am
Source: Sarbanes-Oxley Compliance Journal [read post]
14 May 2012, 12:59 pm
In a release, the SEC said the administrative suit marks the first agency enforcement action against a foreign audit firm for allegedly violating Section 106 of the Sarbanes-Oxley Act. [read post]
1 Nov 2010, 5:00 am
(“DHB”) because the settlement "impermissibly releases and indemnifies DHB’s former Chief Executive Officer and Chief Financial Officer against all liability arising under § 304 of the Sarbanes-Oxley Act". [read post]
18 Sep 2010, 5:56 am
No, they’re just conforming amendments after all. [read post]
6 Dec 2007, 8:26 am
"You're getting a lot more focus on compliance and on ethics internally in corporate structures," Meyer told The American Lawyer. [read post]
9 Jul 2007, 2:10 pm
Larry Ribstein has some suggestions:Time flies when you're having fun! [read post]
28 Feb 2012, 5:00 am
An example of this type of development occurred in In re Symmetry Medical, Inc., Exchange Act Release No. 66268 (admin proc Jan. 30, 2012). [read post]
29 Aug 2022, 8:43 am
The Sarbanes-Oxley Act of 2002 (SOX) is designed to prevent fraud in publicly traded companies. [read post]
24 Nov 2014, 1:42 pm
While I was starting a week long trial in the Southern District of Texas, the 5th Circuit was taking a wide, pro-employee view of Sarbanes Oxley. [read post]
24 Nov 2014, 1:42 pm
While I was starting a week long trial in the Southern District of Texas, the 5th Circuit was taking a wide, pro-employee view of Sarbanes Oxley. [read post]
3 Jul 2015, 4:03 am
The 7th case, the one the government won, was the one you're most likely to have noticed, Glossip v. [read post]
21 Dec 2020, 3:00 am
Cheat Sheet: 2020 Capital Markets Rulemaking If you’re like me, you’re probably having a little trouble keeping up with the avalanche of rulemaking from the SEC over the past several months. [read post]
11 Sep 2018, 3:09 am
” So make sure you’re not using this blank form as it doesn’t comport with the SEC’s rules. [read post]
15 Jun 2010, 5:58 pm
Pittman, re-published on Ethics.org, explained how Sarbanes-Oxley broadly expanded the scope of unacceptable corporate behavior under securities laws: Of the five elements of the Commission's code, the only one that is specific to public companies relates to accuracy and timeliness of disclosure in public filings and other public communications. [read post]
4 May 2008, 11:20 pm
Most of the time, Warren Buffet’s activities, when unrelated to Gen Re, fall outside the Law Blog’s long-arm jurisdiction. [read post]
25 Mar 2021, 3:03 am
The law amends the Sarbanes-Oxley Act to prohibit listing on US exchanges of foreign companies for which the PCAOB has been unable to inspect audit work papers and is primarily aimed Chinese companies listed in the US. [read post]
13 Mar 2020, 3:00 am
If you’re inclined to do that, check out this recent blog from UCLA’s Stephen Bainbridge on this topic. [read post]
11 Jan 2012, 8:00 am
In addition to state standards and Sarbanes-Oxley (“SOX”) requirements, the major U.S. stock exchanges each have their own standards for independence. [read post]
18 Mar 2011, 8:00 am
Because Sharkey failed to identify the allegedly illegal conduct that formed the basis of her whistleblower complaint, the court dismissed the claim, granting Sharkey leave to re-plead within 20 days. [read post]
