SEC

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Anti-Corruption

SEC, Anti-Money Laundering (AML) Source Tool for Mutual Funds (2008)
SEC, Anti-Money Laundering (AML) Source Tool for Broker-Dealers (2008)

Competitive Practices, Financial Assurance

SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011)

Competitive Practices, Financial Assurance, Governance

SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

Employment

SEC, Final Rule: Executive Compensation and Related Person Disclosure (2006)
SEC Feedback on Executive Compensation Disclosures: "Where's the Analysis?" (Deloitte, 2007)
SEC, Staff Observations in the Review of Executive Compensation Disclosure, Executive Summary (2007)
SEC Targets Executive Compensation Disclosure (2007)
SEC, Regulation S-K: Standard Instructions for Filing Forms
SEC, Integrated Disclosure System for Small Business Issuers
SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Dodd-Frank Act mandates new corporate governance and executive compensation requirements (July 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 Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act (January 2011)
SEC, Shareholder Approval of Executive Compensation and Golden Parachute Compensation (Final Rule, 2011)
SEC Adopts Final Rules on Dodd-Frank Whistleblower Program (June 2011)
Dodd-Frank Act’s Whistleblower Bounty Provision – A Primer (2011)

Employment, Financial Assurance

SEC, Executive Pay Finder
SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)

Employment, Financial Assurance, Governance

Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones

Employment, Governance

SEC, Office of the Whistleblower Website

Financial Assurance

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
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)
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)
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 Staff Accounting Bulletin: Topic 12: Oil and Gas Producing Activities
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, 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, 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, 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, Spotlight On: Fair Value Accounting Standards
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
Securities Law 360 Newsletter for Litigators and Compliance Professionals
SEC: Consolidated Audit Trail, Proposed Rule (June 2010)
SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)
SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010)
Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)
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)
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)
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)

Financial Assurance, Information Management

SEC, Interpretive Release: Commission Guidance on the Use of Company Web Sites (2008)
SEC, Final Rule: Electronic Filing and Revision of Form D (2008)

Financial Assurance, Governance

SEC, Investment Advisor Codes of Ethics, Final Rule (2004)
Observations on Risk Management Practices during the Recent Market Turbulence (March 2008)
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)

Governance

Sarbanes-Oxley 'Ax', The (2005)
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 Publishes Its Guidance for Management on Evaluating Internal Controls (FSA, IIA, 2007)
SEC, Spotlight On: Internal Control Reporting Provisions
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
SEC Final Rule: Management's Report on Internal Control over Financial Reporting Implementing SOX Section 404 (2003)
SEC, Code of Ethics
SEC, Final Rule on Investment Corporate Governance, Commission response to remand by Court of Appeals (2005)
NASD and NYSE Rulemaking: Relating to Corporate Governance (November 4, 2003)
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)