SEC

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Ethical Culture, Audit & Evaluation

SEC, Field Offices Integrity Program (2005)

Audit & Evaluation

SEC, Spotlight On: Internal Control Reporting Provisions

Audit & Evaluation, GRC Capability and Processes

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)

Finance & Accounting, Audit & Evaluation, Financial Assurance

SEC: Consolidated Audit Trail, Proposed Rule (June 2010)

Audit & Evaluation, Risk Assessment

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)

Finance & Accounting, Audit & Evaluation

SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)

Finance & Accounting, Audit & Evaluation, Risk Assessment

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

Compensation, Finance & Accounting, Governance

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

Finance & Accounting, Ethical Culture

SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)

Executive Compensation

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, Executive Pay Finder
SEC Targets Executive Compensation Disclosure (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
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)

Executive Compensation, GRC Capability and Processes

SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002

Finance & Accounting, Financial Services and Banking, Executive Compensation

Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)

Finance & Accounting, Governance

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

Finance & Accounting, Financial Services and Banking

SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)

Finance & Accounting

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 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)

Finance & Accounting, Risk Assessment

Credit Risk Retention, Notice of Proposed Rulemaking (2011)

Financial Assurance

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, Fed Finalize Bank-Broker Rules (2007)
SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010)

Investigations, Financial Assurance

Securities Law 360 Newsletter for Litigators and Compliance Professionals

Governance

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)

GRC Capability and Processes

SEC, Code of Ethics

Helplines/Hotlines, Whistleblowing and Retaliation

SEC, Office of the Whistleblower Website

Investigations

Sarbanes-Oxley 'Ax', The (2005)

One Minute Polls

OCEG One Minute Poll: Is the CECO a Company Official?

Risk Assessment

Observations on Risk Management Practices during the Recent Market Turbulence (March 2008)

Whistleblowing and Retaliation

SEC Adopts Final Rules on Dodd-Frank Whistleblower Program (June 2011)
SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)
Dodd-Frank Act’s Whistleblower Bounty Provision – A Primer (2011)