SEC

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OCEG Contributed

OCEG One Minute Poll: Is the CECO a Company Official?
SEC, Office of the Chief Accountant: Application of the Commission's Rules on Auditor Independence Frequently Asked Questions
GAO, Securities and Exchange Commission's Financial Statements for Fiscal Years 2007 and 2006 (2007)
Final Report of the Advisory Committee on Improvements to Financial Reporting to the United States Securities and Exchange Commission (2008)
Complexity DeCIFiRed — SEC Advisory Committee Releases Final Report (Deloitte, 2008)
SEC, Anti-Money Laundering (AML) Source Tool for Mutual Funds (2008)
SEC, Anti-Money Laundering (AML) Source Tool for Broker-Dealers (2008)
SEC, Final Rule, Commission Guidance and Amendment to the Rules Relating to Organization and Program Management Concerning Proposed Rule Changes Filed by Self-Regulatory Organizations (July 2008)
SEC, Compliance Alert for Chief Compliance Officers (2008)
SEC, Final Rule - Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers (2008)
SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies (2008)
SEC, PCAOB: Order Approving Proposed Ethics and Independence Rule 3526, Communication with Audit Committees Concerning Independence, Amendment to Interim Independence Standards, et al (2008)
SEC, Interpretive Release: Commission Guidance on the Use of Company Web Sites (2008)
SEC, Final Rule: Electronic Filing and Revision of Form D (2008)
SEC, Foreign Issuer Reporting Enhancements, Final Rule (2008)
SEC, 21st Century Disclosure Initiative
SEC/FASB, SEC Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting (2008)
SEC, Investment Advisor Codes of Ethics, Final Rule (2004)
SEC, Enforcement Manual (2008)
SEC Responds to Executive Compensation Disclosure in 2007 Proxy Filings (2008)
SEC, Final Rule, Smaller Reporting Company Regulatory Relief and Simplification (2008)
SEC, Final Rule - Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP (2008)
SEC Publishes Its Guidance for Management on Evaluating Internal Controls (FSA, IIA, 2007)
SEC, Spotlight On: Fair Value Accounting Standards
SEC Feedback on Executive Compensation Disclosures: "Where's the Analysis?" (Deloitte, 2007)
FEI Financial Reporting Blog
SEC, Executive Pay Finder
SEC Staff Accounting Bulletin: Topic 12: Oil and Gas Producing Activities
SEC Targets Executive Compensation Disclosure (2007)
SEC, Staff Observations in the Review of Executive Compensation Disclosure, Executive Summary (2007)
Observations on Risk Management Practices during the Recent Market Turbulence (March 2008)
Dodd-Frank Act’s Whistleblower Bounty Provision – A Primer (2011)
SEC: Consolidated Audit Trail, Proposed Rule (June 2010)
Dodd-Frank Act mandates new corporate governance and executive compensation requirements (July 2010)
Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones
SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)
SEC Issues Proposed Rules on Say-on-Pay Voting and Disclosures (2010)
SEC, Proposed Rule: Shareholder Approval of Executive Compensation and Golden Parachute Compensation (2010)
SEC Adopts Final Rules on Dodd-Frank Whistleblower Program (June 2011)
SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act (January 2011)
SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010)
SEC, Shareholder Approval of Executive Compensation and Golden Parachute Compensation (Final Rule, 2011)
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)
SEC, Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
SEC: Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
SEC, Work Plan for the Consideration of Incorporating International Financial Reporting Standards into the Financial Reporting System for U.S. Issuers: Exploring a Possible Method of Incorporation (May 2011)
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)
SEC, Office of the Whistleblower Website
SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)
SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011)
SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)
SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
SEC Adopts New Short Form Criteria to Replace Credit Ratings (July 2011)
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds, Proposed Rule (November 2011)

Member Contributed

SEC, Code of Ethics
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
NASD and NYSE Rulemaking: Relating to Corporate Governance (November 4, 2003)
SEC, Final Rule on Investment Corporate Governance, Commission response to remand by Court of Appeals (2005)
Form 10-Q - Quarterly Report Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
SEC, Financial Reporting Information Center: Regulatory Actions
PCAOB Rulemaking: Public Company Accounting Oversight Board; SEC Order Approving Proposed Rules Relating to Investigations and Adjudications (2004)
Sarbanes-Oxley 'Ax', The (2005)
SEC Final Rule: Management's Report on Internal Control over Financial Reporting Implementing SOX Section 404 (2003)
SEC, Field Offices Integrity Program (2005)
SEC, Spotlight On: Internal Control Reporting Provisions
SEC, Final Rule: Executive Compensation and Related Person Disclosure (2006)
SEC Interpretation, Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (June 27, 2007)
SEC, Final Rule: Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting (2007)
SEC, Final Rule, Investment Governance, Commission Response to Remand by Court of Appeals Regarding Investment Company Governance Practices (2006)
SEC, Proposed Rule - Smaller Reporting Company Regulatory Relief and Simplification (2007)
PCAOB 2007-02, Form 19b-4, Proposed Rules Filing with the SEC (2007)
SEC, Shareholder Choice Regarding Proxy Materials; Final Rule (August 1, 2007)
SEC, Short Selling in Connection With a Public Offering, Final Rule (August 10, 2007)
SEC, Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3–1 And 15c3–3 Under the Securities Exchange Act of 1934 ; Purchase of Deferred Variable Annuity Contracts (September 13, 2007)
Securities Law 360 Newsletter for Litigators and Compliance Professionals
SEC, Final Rule, Definitions of Terms and Exemptions Relating to the ‘‘Broker'' Exceptions for Banks (October 3, 2007)
SEC, Fed Finalize Bank-Broker Rules (2007)
SEC - Final Rule: Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
SEC, Regulation S-K: Standard Instructions for Filing Forms
SEC, Investment Adviser Codes of Ethics, Proposed Rule (2004)
SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
SEC, Integrated Disclosure System for Small Business Issuers