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Student Guide to the Sarbanes-Oxley Actby Miller, Roger LeRoy; Bredeson, Dean
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This brief guide explains the ins-and-outs of the Sarbanes-Oxley Act, helping you understand how this major legislative change affects CEOs, CFOs, and other financially responsible officers -- and ultimately you in your own business life.
Table of Contents
|Establishment; Administrative Provisions|
|Registration with the Board|
|Auditing, Quality Control, and Independence Standards and Rules|
|Inspections of Registered Public Accounting Firms|
|Investigations and Disciplinary Proceedings|
|Foreign Public Accounting Firms|
|Commission Oversight of the Board|
|Accounting Standards. Funding|
|Services Outside the Scope of Practice of Auditors|
|Audit Partner Rotation|
|Auditor Reports to Audit Committees|
|Conflicts of Interest|
|Study of Mandatory Rotation of Registered Public Accounting Firms|
|Considerations by Appropriate State Regulatory Authorities|
|Public Company Audit Committees|
|Corporate Responsibility for Financial Reports|
|Improper Influence on Conduct of Audits|
|Forfeiture of Certain Bonuses and Profits|
|Officer and Director Bars and Penalties|
|Insider Trades During Pension Fund Blackout Periods|
|Rules of Professional Responsibility for Attorneys|
|Fair Funds for Investors|
|Enhanced Financial Disclosures|
|Disclosures in Periodic Reports|
|Enhanced Conflict of Interest Provisions|
|Disclosures of Transactions Involving Management and Principal Stockholders|
|Management Assessment of Internal Controls Exemption|
|Code of Ethics for Senior Financial Officers|
|Disclosure of Audit Committee Financial Expert|
|Enhanced Review of Periodic Disclosures by Issuers|
|Real Time Issuer Disclosures|
|Analyst Conflicts Of Interest|
|Treatment of Securities Analysts by Registered Securities Associations and National Securities Exchanges|
|Commission Resources And Authority|
|Authorization of Appropriations|
|Appearance and Practice Before the Commission|
|Federal Court Authority to Impose Penny Stock Bars|
|Qualifications of Associated Persons of Brokers and Dealers|
|Studies And Reports|
|GAO Study and Report Regarding Consolidation of Public Accounting Firms|
|Commission Study and Report Regarding Credit Rating Agencies|
|Study and Report on Violators and Violations|
|Study of Enforcement Actions|
|Study of Investment Banks|
|Corporate And Criminal Fraud Accountability|
|Criminal Penalties for Altering Documents|
|Debts Nondischargeable if Incurred in Violation of Securities Fraud Laws|
|Statute of Limitations for Securities Fraud|
|Review of Federal Sentencing Guidelines for Obstruction of Justice and Extensive Criminal Fraud|
|Protection for Employees of Publicly Traded Companies Who Provide Evidence of Fraud|
|Criminal Penalties for Defrauding Shareholders of Publicly Traded Companies|
|White-Collar Crime Penalty Enhancements|
|Attempts and Conspiracies to Commit Criminal Fraud Offenses|
|Criminal Penalties for Mail and Wire Fraud|
|Criminal Penalties for Violations of the Employee Retirement Income Security Act of 1974 Amendment to Sentencing Guidelines Relating to Certain White-Collar Offenses|
|Corporate Responsibility for Financial Reports|
|Corporate Tax Returns|
|Sense of the Senate Regarding the Signing of Corporate Tax Returns by Chief Executive Officers|
|Corporate Fraud And Accountability|
|Tampering with a Record or Otherwise Impeding an Official Proceeding|
|Temporary Freeze Authority for the Securities and Exchange Commission|
|Amendment to the Federal Sentencing Guidelines|
|Authority of the Commission to Prohibit Persons from Serving as Officers or Directors|
|Increased Criminal Penalties under Securities Exchange Act of 1934 Retaliation Against Informants|
|Table of Contents provided by Publisher. All Rights Reserved.|