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Introduction
As we all know, as a result of widespread accounting scandals in 2001-02, Congress passed the Sarbanes-Oxley Act of 2002, Pub. L. No. 107-204, 116 Stat. 769 (2002) (SOX). SOX, signed into law on July 30, 2002, authorizes substantially increased funding for the United States Securities and Exchange Commission, creates broad new SEC enforcement powers, a greater range and magnitude of civil and criminal penalties, several new criminal prohibitions and more rigorous reporting requirements among other things.
Engineered to vastly expand federal regulators' authority to enforce the Federal Securities Laws, SOX presents new challenges and magnifies many pre-existing issues facing those under investigation or being actively prosecuted for securities law violations.
As a result, the Securities and Exchange Commission (SEC) has become increasingly active and influential in the regulation of public securities markets. To effectively defend entities and individuals facing federal investigations it is imperative to understand the federal agency involved, and its procedures.
Robert Plotkin
As we all know, as a result of widespread accounting scandals in 2001-02, Congress passed the Sarbanes-Oxley Act of 2002,
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