Reporting Duties of Corporate Attorneys: SEC Rules and Explanation Reporting Duties of Corporate Attorneys: SEC Rules and Explanation
by James Hamilton, J.D., LL.M, and Ted Trautmann, J.D.


Price Per Unit:




Call for Pricing

Add to Cart



Page Count:

68 pages


6" x 9" Perfect Bound

Pub. Date:

March 2003

More Info: 888-224-7377
Have a Sales Rep Contact Me

The controversial attorney reporting rules adopted by the Securities and Exchange Commission, as mandated by Sarbanes-Oxley Act Section 307, are explained in this concise new reference.

Reporting Duties of Corporate Attorneys: SEC Rules and Explanation walks you through each reporting requirement, including investigating, evaluating, documenting and reporting evidence of a material violation. The book also explains the qualified legal compliance committee (QLCC), an optional new form of board committee that companies may establish to receive and address reports of wrongdoing.

Related issues are covered as well, such as supervisory and subordinate attorney duties, the safe harbor for disclosing confidential information necessary to defend against misconduct charges, the effect of parallel state ethics proceedings, and the safe harbor for good faith compliance. The clear, comprehensive guidance helps securities attorneys, corporate counsel and even corporate officers comply with the "up-the-ladder" reporting duties and avoid SEC disciplinary action.

Login  |  Learn More  |  View Demo

Login  |  Learn More  |  View Demo



Free Email Newsletter

Sign Up  |  Current  |  About

In Focus

Supreme Court Oral Argument in Materiality Case Notes Deference Due to SEC

Assistant U.S. Solicitor General Pratik Shah contended that the SEC is due significant deference based on its long-standing historical practice of applying the materiality standard and its special expertise with respect to what a reasonable investor would want to know.

Read More


CCH WorkDay

Insights into legislative activity, cases of note, and other breaking news.

Health Reform Talk

Insights and commentary on health reform.

John Arden's Trade Regulation Talk

A forum to discuss antitrust and trade regulation law.

Jim Hamilton's World of Securities Regulation

Commentary and musings about securities regulation.


CCH Financial Crisis News Center

Intended to provide the legal community and others with news and links to vital information on the current financial crisis.


CCH Employment Law NetNews

Weekly newsletter provides corporate counsel with need-to-know employment and labor law information.


  • ©2005-2024 CCH Incorporated or its affiliates