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Student Guide to the Sarbanes-Oxley Act

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Pub. Date:
South-Western College/West
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Table of Contents

Title I
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
Auditor Independence
Services Outside the Scope of Practice of Auditors
Preapproval Requirements
Audit Partner Rotation
Auditor Reports to Audit Committees
Conforming Amendments
Conflicts of Interest
Study of Mandatory Rotation of Registered Public Accounting Firms
Commission Authority
Considerations by Appropriate State Regulatory Authorities
Corporate Responsibility
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
Short Title
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
Short Title
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
Short Title
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.

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