transcript   Transcript

Ethical Dilemmas in Preparation and Review of SEC Filings

Recorded on: Sep. 9, 2016
Running Time: 00:59:47

Full Transcript:



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CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam.

Lecture Topics [00:59:47]

Upon the successful completion of this program, the participant will be able to:

  • Recognize the public policy framework underlying the gatekeeper concept.
  • Recall the legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange Commission (SEC).
  • Identify key provisions of the Dodd-Frank Whistleblower Program.

Course Overview:

This program will focus on:

  • The public policy framework underlying the gatekeeper concept.
  • The legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange Commission (SEC).
    • Rule 102(e)
    • Sarbanes-Oxley’s rules of conduct
    • Federal court and administrative proceedings for securities law violations
  • Liability of corporate and securities counsel.
    • Gatekeeper cases
    • Failure to supervise cases
  • The Dodd-Frank Whistleblower Program.

CPE Program Level:

Overview

Intended Audience:

Accountants, auditors, in-house corporate counsel, outside attorneys, directors, board members, corporate officers, and other allied professionals responsible for the preparation of public reporting and disclosure documents filed with SEC, as well as accounting and legal professionals appearing and practicing before the SEC.

Prerequisites:

A general understanding of the policies and legal framework governing the rules of conduct for legal and financial professionals appearing and practicing before the SEC.

Advanced Preparation:

None

Instructional Method:

QAS Self-Study

Updated:

May 2017

(s)
Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
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