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Sarbanes-Oxley News & Developments

2003-05-28

SEC Implements Internal Control Provisions of Sarbanes-Oxley Act

The SEC voted to adopt rules managing reports on internal control over financial reporting & certification of disclosures.

2003-05-28

Accountant Files $2.5M Whistleblower Suit vs Duke Power Company

A Duke Power accountant has reportedly filed a lawsuit claiming improper accounting changes.

2003-05-22

Dealing With Details Crucial To Life With Sarbanes-Oxley

By now, board members, audit committees, company CEOs and CFOs have spent more time complying with the myriad effects of the Sarbanes-Oxley Act than they ever expected. There is one challenge that firms are now grappling with and that is the whistleblower provisions.

2003-05-22

SEC Files Proposed Settlement for Civil Penalty In WorldCom Case

The proposed settlement provides for a judgement requiring WorldCom to pay a civil penalty of $1,510,000,000.

2003-05-22

SEC Opens Investigation Of Mutual-Fund Sales

SEC regulators are probing into how brokers are paid for selling mutual funds.

2003-05-21

Coca-Cola Hires Firms To Probe Allegations of Marketing/Accounting Fraud

Coke has hired an outside auditor and law firm to investigate allegations made by former employee Matthew Whitley.

2003-05-21

Former CEO Richard Scrusy wants HealthSouth to Pay Legal Tab

HealthSouth former CEO claims former employer is legally bound to pay for his legal fees.

2003-05-21

Can Sarbanes-Oxley Rekindle IT Spending?

U.S. companies are expected to spend more than $2.5 billion to comply with new accounting rules required by the Sarbanes-Oxley Act of 2002.

2003-05-21

Gemstar Told To Freeze Ex-CEO Pay

A federal judge in LA ordered Gemstar-TV Guide International Inc. to freeze $37.64 million it agreed to pay two former officers who are targets of a federal securities probe.

2003-05-21

What You Do Not Know About Sarbanes-Oxley

Sarbanes-Oxley is full of surprises. One issue is / How broadly do you define financial controls?

2003-05-12

Struggling Firms Decide To Go Private - Not Public

The cost of being a public company is high which has some small companies deciding to go private.

2003-05-07

Cash Bonuses Planned for Dell Executives

Dell Computer Corp.,which has been slashing employee stock options, plan to pay cash bonuses to top executives.

2003-05-05

SEC wants former HealthSouth chief exec assets frozen.

Anticipating a federal judge to rule this week on former HealthSouth chief Richard Scrushys assets, the SEC is already pushing to keep assets out of Scrushys hands during an appeal.

2003-05-05

Ex-TXU Exec Sues Company Over Accounting Methods

Former VP, William Muray, of U.S. power company TXU Corp. filed a lawsuit against the company claiming he was fired for questioning the company accounting practices.

2003-05-02

Ex-HealthSouth CFOs Plead Guilty to Fraud - Implicate Founder

Michael Martin and Tadd McVay told U.S.District Judge Clemon that founder Richard M.Scrushy was involved in the scheme to inflate earnings.

2003-05-02

New Charges for Ex-Quest Workers

More than 20 former employees/executives of Quest could face civil charges by U.S.securities regulators.

2003-05-02

After Inflating Income, Companies Want IRS Refunds

Big companies under investigation for inflating their earnings during the stock-market boom of the 1990s now want back taxes they overpaid.

2003-05-01

Shoe maker - Candies - Settles With SEC After Accounting Probe

Candies Inc. has reached a settlement to end an investigation by governmemt regulators into company accounting.

2003-05-01

Fastow Faces More Charges; Other Enron Executives Are Indicted

Ex-Enron CFO Andrew Fastow faces 31 additional charges, his wife and nine former executives were indicted on a host of fraud, insider-trading and other counts.

2003-05-01

Wife of Ex-Enron CFO & Six Executives Surrender To Federal Authorities

Indictments are expected to be unsealed naming Lea Fastow and several former Enron executives in a fraud scheme.

2003-05-01

Quest Ex-Staffers May Face Civil Charges From SEC

Probe focuses on Purchase of Shares by Executives and Secret Sales Agreements.
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Capital Markets Report Urges 404 Fixes
A panel says changes in the way Sarbanes-Oxley has been applied will improve the competitiveness of the U.S. capital markets.

Wal-Mart Whistleblower Drops Lawsuit
Former executive still has a whistleblower case pending before the Labor Department.

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Sarbanes-Oxley Act SEC Rules Exchange Rules

> Public Accounting oversight board (101)
> Audit Committee responsibilities (301(2))
> Independence (301(3))
> Complaints (301(4))
> Advisors (301(5))
> Funding (301(6))
> Protections (806)
> Retaliation (1107)
> SEC Rules and Regulations
> SEC Proposed Rules
> SEC Final Rules Releases
> SEC Concept Releases
> SRO Rulemaking
> SEC Interpretive Releases
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