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Sarbanes-Oxley Institute: Corporate Governance, Financial Disclosure, Auditing, and Other Issues--2005

The Sarbanes-Oxley Act of 2002 has been described as the single most important piece of securities legislation since the original ’33 and ’34 Acts were passed. The Act has given rise to a record number of SEC rulemakings. The NYSE and NASD have weighed in with their own rule changes, and the Public Company Accounting Oversight Board (PCAOB) has done the same. Section 404 "control reporting" has proven to be controversial and expensive. Corporate governance, financial reporting, compliance, disclosure, and auditing all are affected. Corporate counsel, both in-house and outside, have needed to react rapidly to all of these developments, often in a crisis environment. CL027

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Coursebook Papers:

The Bubble Has Burst (25 pp) $29.00

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Securities Act Reform – Summary of New Rules (18 pp) $29.00

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In re Homestore.com, Inc. Securities Litigation (20 pp)

Brief of the Securities and Exchange Commission, Amicus Curiae, in Support of Positions that Favor Appellant in Homestore.com, Inc (36 pp)

Spilt Milk: Parmalat and Sarbanes-Oxley Internal Controls Reporting (11 pp)

Corporate Investigations and Common Law (2 pp)

Recent Developments in Federal Securities Regulation of Corporate Finance (174 pp) $49.00

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The Work of the Public Company Accounting Oversight Board: Registration, Inspections, Enforcement, and Standard Setting (77 pp) $39.00

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Reporting and Addressing Potential Misconduct (15 pp) $29.00

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Dealing with the Lawyer’s Responsibilities under the Sarbanes-Oxley Act of 2002: Ethical Dilemmas and Practical Considerations (2 pp)

Interpretations and Implementation of the Whistleblower Provisions of the Sarbanes-Oxley Law (17 pp) $29.00

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Restrictions on Executive Trading of Company Stock under the Sarbanes-Oxley Blackout Rules (9 pp) $29.00

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ERISA and Securities Litigation Settlements (18 pp) $29.00

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Conducting Internal Investigations (17 pp) $29.00

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Ethical Considerations in Internal Corporate Investigations (16 pp) $29.00

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Cutting Edge Compliance Program Issues: Assessing Risks, Corporate Culture, and Program Effectiveness (21 pp) $29.00

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Document Retention and Destruction under Sarbanes-Oxley (8 pp) $29.00

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