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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. |
The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.
The Used, Rental and eBook copies of this book are not guaranteed to include any supplemental materials. Typically, only the book itself is included. This is true even if the title states it includes any access cards, study guides, lab manuals, CDs, etc.