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Searching Content indexed under Corporate/Commercial Law by Tarek Sorensen ordered by Published Date Descending.
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Ninth Circuit Permits SEC To Assert Standalone Claim For False Sarbanes-Oxley Certification And Confirms Disgorgement Remedy Against CEO And CFO Despite Lack Of Personal Involvement In Underlying Misconduct
The Ninth Circuit broke new ground by providing the SEC with a new independent cause of action under SEC Rule 13a-14, 17 C.F.R. § 240.13a-14, against a CEO or CFO who certifies false or misleading statements.
United States
14 Sep 2016
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