SEC Enforcement Actions Against General Counsel Since Sarbanes-Oxley

May 11, 2007

Since the enactment of Sarbanes-Oxley (SOX) the Securities and Exchange Commission (SEC) has brought an increasingly greater number and wider variety of enforcement actions against in-house counsel.

This article examines recent post-SOX trends of SEC enforcement actions against corporate attorneys, and concludes with concrete recommendations for general counsel.

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