5490 Standards of Professional Conduct Under the Sarbanes-Oxley Act
Price: $ 119.00 (USD)
Add to Cart
You will receive 1 credit (CE) upon completion of this course.
Have a question about this course? .
Course Description
Even if you are not a securities lawyer, there is a good chance that Sarbanes-Oxley Act applies to you. Under the rules established by the Securities and Exchange Commission (17 C.F.R. Part 205), appearing and practicing before the SEC is defined very broadly, imposing specific obligations and responsibilities for reporting evidence of improper acts within a corporation. In this program, attorney David Keyko explains the rules in detail and challenges you to apply those rules in various scenarios involving both in-house and outside counsel.
Back to Top
Course Outline
Standards of Professional Conduct Under the Sarbanes-Oxley Act
I. Introduction
II. The Cautionary Tale of John Isselmann, Jr.
III. 17 C.F.R. Part 205 Rules
A. Overview and Background
B. Key Terms
1. Terms to Be Defined
2. Appearing and Practicing Before the Commission
3. Issuer
4. Representation of an Issuer
5. Evidence of a Material Violation
6. Subordinate and Supervising Attorney
7. Reporting Evidence
8. Appropriate Response
C. Practical Advice on Reporting
D. Whistle-Blowers
E. Client Confidentiality
F. Reporting Out and Withdrawal
G. Issuer Responsibilities
IV. Scenario Review
A. Scenario 1: In-House Litigator
B. Scenario 2: Outside Counsel
C. Scenario 3: Private Hedge Fund
D. Scenario 4: In-House Environmental Lawyer
AfterWordsSM
Back to Top
I. Introduction
II. The Cautionary Tale of John Isselmann, Jr.
III. 17 C.F.R. Part 205 Rules
A. Overview and Background
B. Key Terms
1. Terms to Be Defined
2. Appearing and Practicing Before the Commission
3. Issuer
4. Representation of an Issuer
5. Evidence of a Material Violation
6. Subordinate and Supervising Attorney
7. Reporting Evidence
8. Appropriate Response
C. Practical Advice on Reporting
D. Whistle-Blowers
E. Client Confidentiality
F. Reporting Out and Withdrawal
G. Issuer Responsibilities
IV. Scenario Review
A. Scenario 1: In-House Litigator
B. Scenario 2: Outside Counsel
C. Scenario 3: Private Hedge Fund
D. Scenario 4: In-House Environmental Lawyer
AfterWordsSM
More Information
| Language | English |
| Course Length | 1.07 hours |
| Duration of Access | for 3 months from day of enrollment |
| Continuing Education Credits | 1 |
| Instructor | D. G. Keyko |
| Vendor | Cognistar (Read more about Cognistar accreditation.) |
| Course Certification | CLE credit available, see details for each course for states where available |
| Prerequisites/Audience | intended for attorneys and law students |
| Requirements/Materials Included | computer with Internet access |
Price: $ 119.00 (USD)
Add to Cart