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SEC Issues Rules Regarding Certification
SEC Approves Research Analyst Conflicts
SarbanesOxley Act of 2002 PL No 107204
Accounting Oversight Board action adopt amended by adding Analyst Rules applicable approval associated person thereof audit committee audit reports audit services auditor authority blackout period broker or dealer certification Commission compensation compliance conflicts of interest corporate credit rating agencies date of enactment disclose employees end the following equity securities executive officer exempt filed financial reporting financial statements foreign issuers foreign public accounting Form 8-K fraud independent inserting internal controls investment banking issuance issue material member firm ment NASD Nasdaq necessary or appropriate non-audit services NYSE paragraph participants penalties penny stock periodic report procedures prohibit protection of investors public accounting firm purposes registered public accounting regulatory reports on Form research report respect rule or regulation rulemaking sanction Sarbanes-Oxley Act section 107 Securities Act securities analyst Securities Exchange Act sentencing guidelines special purpose entities standard setting body subparagraph subsection tion title 18 transactions United States Code violation