SOX

Sarbanes-Oxley Act of 2002

Artículos (72)

72 artículos totales

Art.
Sec. 1001 — SENSE OF THE SENATE REGARDING THE SIGNING OF CORPORATE TAX RETURNS BY CHIEF EXECUTIVE O

Artículo Sec. 1001 — SENSE OF THE SENATE REGARDING THE SIGNING OF CORPORATE TAX RETURNS BY CHIEF EXECUTIVE O. Sec. 1001 — SENSE OF THE SENATE REGARDING THE SIGNING OF CORPORATE TAX RETURNS BY CHIEF EXECUTIVE OFFICERS

Art.
Sec. 101 — ESTABLISHMENT; ADMINISTRATIVE PROVISIONS

Artículo Sec. 101 — ESTABLISHMENT; ADMINISTRATIVE PROVISIONS. Sec. 101 — ESTABLISHMENT; ADMINISTRATIVE PROVISIONS

Art.
Sec. 102 — REGISTRATION WITH THE BOARD

Artículo Sec. 102 — REGISTRATION WITH THE BOARD. Sec. 102 — REGISTRATION WITH THE BOARD

Art.
Sec. 103 — AUDITING, QUALITY CONTROL, AND INDEPENDENCE STANDARDS AND RULES

Artículo Sec. 103 — AUDITING, QUALITY CONTROL, AND INDEPENDENCE STANDARDS AND RULES. Sec. 103 — AUDITING, QUALITY CONTROL, AND INDEPENDENCE STANDARDS AND RULES

Art.
Sec. 104 — INSPECTIONS OF REGISTERED PUBLIC ACCOUNTING FIRMS

Artículo Sec. 104 — INSPECTIONS OF REGISTERED PUBLIC ACCOUNTING FIRMS. Sec. 104 — INSPECTIONS OF REGISTERED PUBLIC ACCOUNTING FIRMS

Art.
Sec. 105 — INVESTIGATIONS AND DISCIPLINARY PROCEEDINGS

Artículo Sec. 105 — INVESTIGATIONS AND DISCIPLINARY PROCEEDINGS. Sec. 105 — INVESTIGATIONS AND DISCIPLINARY PROCEEDINGS

Art.
Sec. 106 — FOREIGN PUBLIC ACCOUNTING FIRMS

Artículo Sec. 106 — FOREIGN PUBLIC ACCOUNTING FIRMS. Sec. 106 — FOREIGN PUBLIC ACCOUNTING FIRMS

Art.
Sec. 107 — COMMISSION OVERSIGHT OF THE BOARD

Artículo Sec. 107 — COMMISSION OVERSIGHT OF THE BOARD. Sec. 107 — COMMISSION OVERSIGHT OF THE BOARD

Art.
Sec. 108 — ACCOUNTING STANDARDS

Artículo Sec. 108 — ACCOUNTING STANDARDS. Sec. 108 — ACCOUNTING STANDARDS

Art.
Sec. 109 — FUNDING

Artículo Sec. 109 — FUNDING. Sec. 109 — FUNDING

Art.
Sec. 1101 — SHORT TITLE

Artículo Sec. 1101 — SHORT TITLE. Sec. 1101 — SHORT TITLE

Art.
Sec. 1102 — TAMPERING WITH A RECORD OR OTHERWISE IMPEDING AN OFFICIAL PROCEEDING

Artículo Sec. 1102 — TAMPERING WITH A RECORD OR OTHERWISE IMPEDING AN OFFICIAL PROCEEDING. Sec. 1102 — TAMPERING WITH A RECORD OR OTHERWISE IMPEDING AN OFFICIAL PROCEEDING

Art.
Sec. 1103 — TEMPORARY FREEZE AUTHORITY FOR THE SECURITIES AND EXCHANGE COMMISSION

Artículo Sec. 1103 — TEMPORARY FREEZE AUTHORITY FOR THE SECURITIES AND EXCHANGE COMMISSION. Sec. 1103 — TEMPORARY FREEZE AUTHORITY FOR THE SECURITIES AND EXCHANGE COMMISSION

Art.
Sec. 1104 — AMENDMENT TO THE FEDERAL SENTENCING GUIDELINES

Artículo Sec. 1104 — AMENDMENT TO THE FEDERAL SENTENCING GUIDELINES. Sec. 1104 — AMENDMENT TO THE FEDERAL SENTENCING GUIDELINES

Art.
Sec. 1105 — AUTHORITY OF THE COMMISSION TO PROHIBIT PERSONS FROM SERVING AS OFFICERS OR DIRECTORS

Artículo Sec. 1105 — AUTHORITY OF THE COMMISSION TO PROHIBIT PERSONS FROM SERVING AS OFFICERS OR DIRECTORS. Sec. 1105 — AUTHORITY OF THE COMMISSION TO PROHIBIT PERSONS FROM SERVING AS OFFICERS OR DIRECTORS

Art.
Sec. 1106 — INCREASED CRIMINAL PENALTIES UNDER SECURITIES EXCHANGE ACT OF 1934

Artículo Sec. 1106 — INCREASED CRIMINAL PENALTIES UNDER SECURITIES EXCHANGE ACT OF 1934. Sec. 1106 — INCREASED CRIMINAL PENALTIES UNDER SECURITIES EXCHANGE ACT OF 1934

Art.
Sec. 1107 — RETALIATION AGAINST INFORMANTS

Artículo Sec. 1107 — RETALIATION AGAINST INFORMANTS. Sec. 1107 — RETALIATION AGAINST INFORMANTS

Art.
Sec. 15D — SECURITIES ANALYSTS AND RESEARCH REPORTS

Artículo Sec. 15D — SECURITIES ANALYSTS AND RESEARCH REPORTS. Sec. 15D — SECURITIES ANALYSTS AND RESEARCH REPORTS

Art.
Sec. 16 — DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS

Artículo Sec. 16 — DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS. Sec. 16 — DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS

Art.
Sec. 2 — DEFINITIONS

Artículo Sec. 2 — DEFINITIONS. Sec. 2 — DEFINITIONS

Art.
Sec. 201 — SERVICES OUTSIDE THE SCOPE OF PRACTICE OF AUDITORS

Artículo Sec. 201 — SERVICES OUTSIDE THE SCOPE OF PRACTICE OF AUDITORS. Sec. 201 — SERVICES OUTSIDE THE SCOPE OF PRACTICE OF AUDITORS

Art.
Sec. 202 — PREAPPROVAL REQUIREMENTS

Artículo Sec. 202 — PREAPPROVAL REQUIREMENTS. Sec. 202 — PREAPPROVAL REQUIREMENTS

Art.
Sec. 203 — AUDIT PARTNER ROTATION

Artículo Sec. 203 — AUDIT PARTNER ROTATION. Sec. 203 — AUDIT PARTNER ROTATION

Art.
Sec. 204 — AUDITOR REPORTS TO AUDIT COMMITTEES

Artículo Sec. 204 — AUDITOR REPORTS TO AUDIT COMMITTEES. Sec. 204 — AUDITOR REPORTS TO AUDIT COMMITTEES

Art.
Sec. 205 — CONFORMING AMENDMENTS

Artículo Sec. 205 — CONFORMING AMENDMENTS. Sec. 205 — CONFORMING AMENDMENTS

Art.
Sec. 206 — CONFLICTS OF INTEREST

Artículo Sec. 206 — CONFLICTS OF INTEREST. Sec. 206 — CONFLICTS OF INTEREST

Art.
Sec. 207 — STUDY OF MANDATORY ROTATION OF REGISTERED PUBLIC ACCOUNTING FIRMS

Artículo Sec. 207 — STUDY OF MANDATORY ROTATION OF REGISTERED PUBLIC ACCOUNTING FIRMS. Sec. 207 — STUDY OF MANDATORY ROTATION OF REGISTERED PUBLIC ACCOUNTING FIRMS

Art.
Sec. 208 — COMMISSION AUTHORITY

Artículo Sec. 208 — COMMISSION AUTHORITY. Sec. 208 — COMMISSION AUTHORITY

Art.
Sec. 209 — CONSIDERATIONS BY APPROPRIATE STATE REGULATORY AUTHORITIES

Artículo Sec. 209 — CONSIDERATIONS BY APPROPRIATE STATE REGULATORY AUTHORITIES. Sec. 209 — CONSIDERATIONS BY APPROPRIATE STATE REGULATORY AUTHORITIES

Art.
Sec. 3 — COMMISSION RULES AND ENFORCEMENT

Artículo Sec. 3 — COMMISSION RULES AND ENFORCEMENT. Sec. 3 — COMMISSION RULES AND ENFORCEMENT

Art.
Sec. 301 — PUBLIC COMPANY AUDIT COMMITTEES

Artículo Sec. 301 — PUBLIC COMPANY AUDIT COMMITTEES. Sec. 301 — PUBLIC COMPANY AUDIT COMMITTEES

Art.
Sec. 302 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS

Artículo Sec. 302 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS. Sec. 302 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS

Art.
Sec. 303 — IMPROPER INFLUENCE ON CONDUCT OF AUDITS

Artículo Sec. 303 — IMPROPER INFLUENCE ON CONDUCT OF AUDITS. Sec. 303 — IMPROPER INFLUENCE ON CONDUCT OF AUDITS

Art.
Sec. 304 — FORFEITURE OF CERTAIN BONUSES AND PROFITS

Artículo Sec. 304 — FORFEITURE OF CERTAIN BONUSES AND PROFITS. Sec. 304 — FORFEITURE OF CERTAIN BONUSES AND PROFITS

Art.
Sec. 305 — OFFICER AND DIRECTOR BARS AND PENALTIES

Artículo Sec. 305 — OFFICER AND DIRECTOR BARS AND PENALTIES. Sec. 305 — OFFICER AND DIRECTOR BARS AND PENALTIES

Art.
Sec. 306 — INSIDER TRADES DURING PENSION FUND BLACKOUT PERIODS

Artículo Sec. 306 — INSIDER TRADES DURING PENSION FUND BLACKOUT PERIODS. Sec. 306 — INSIDER TRADES DURING PENSION FUND BLACKOUT PERIODS

Art.
Sec. 307 — RULES OF PROFESSIONAL RESPONSIBILITY FOR ATTORNEYS

Artículo Sec. 307 — RULES OF PROFESSIONAL RESPONSIBILITY FOR ATTORNEYS. Sec. 307 — RULES OF PROFESSIONAL RESPONSIBILITY FOR ATTORNEYS

Art.
Sec. 308 — FAIR FUNDS FOR INVESTORS

Artículo Sec. 308 — FAIR FUNDS FOR INVESTORS. Sec. 308 — FAIR FUNDS FOR INVESTORS

Art.
Sec. 35 — AUTHORIZATION OF APPROPRIATIONS

Artículo Sec. 35 — AUTHORIZATION OF APPROPRIATIONS. Sec. 35 — AUTHORIZATION OF APPROPRIATIONS

Art.
Sec. 401 — DISCLOSURES IN PERIODIC REPORTS

Artículo Sec. 401 — DISCLOSURES IN PERIODIC REPORTS. Sec. 401 — DISCLOSURES IN PERIODIC REPORTS

Art.
Sec. 402 — ENHANCED CONFLICT OF INTEREST PROVISIONS

Artículo Sec. 402 — ENHANCED CONFLICT OF INTEREST PROVISIONS. Sec. 402 — ENHANCED CONFLICT OF INTEREST PROVISIONS

Art.
Sec. 403 — DISCLOSURES OF TRANSACTIONS INVOLVING MANAGEMENT AND PRINCIPAL STOCKHOLDERS

Artículo Sec. 403 — DISCLOSURES OF TRANSACTIONS INVOLVING MANAGEMENT AND PRINCIPAL STOCKHOLDERS. Sec. 403 — DISCLOSURES OF TRANSACTIONS INVOLVING MANAGEMENT AND PRINCIPAL STOCKHOLDERS

Art.
Sec. 404 — MANAGEMENT ASSESSMENT OF INTERNAL CONTROLS

Artículo Sec. 404 — MANAGEMENT ASSESSMENT OF INTERNAL CONTROLS. Sec. 404 — MANAGEMENT ASSESSMENT OF INTERNAL CONTROLS

Art.
Sec. 405 — EXEMPTION

Artículo Sec. 405 — EXEMPTION. Sec. 405 — EXEMPTION

Art.
Sec. 406 — CODE OF ETHICS FOR SENIOR FINANCIAL OFFICERS

Artículo Sec. 406 — CODE OF ETHICS FOR SENIOR FINANCIAL OFFICERS. Sec. 406 — CODE OF ETHICS FOR SENIOR FINANCIAL OFFICERS

Art.
Sec. 407 — DISCLOSURE OF AUDIT COMMITTEE FINANCIAL EXPERT

Artículo Sec. 407 — DISCLOSURE OF AUDIT COMMITTEE FINANCIAL EXPERT. Sec. 407 — DISCLOSURE OF AUDIT COMMITTEE FINANCIAL EXPERT

Art.
Sec. 408 — ENHANCED REVIEW OF PERIODIC DISCLOSURES BY ISSUERS

Artículo Sec. 408 — ENHANCED REVIEW OF PERIODIC DISCLOSURES BY ISSUERS. Sec. 408 — ENHANCED REVIEW OF PERIODIC DISCLOSURES BY ISSUERS

Art.
Sec. 409 — REAL TIME ISSUER DISCLOSURES

Artículo Sec. 409 — REAL TIME ISSUER DISCLOSURES. Sec. 409 — REAL TIME ISSUER DISCLOSURES

Art.
Sec. 4C — APPEARANCE AND PRACTICE BEFORE THE COMMISSION

Artículo Sec. 4C — APPEARANCE AND PRACTICE BEFORE THE COMMISSION. Sec. 4C — APPEARANCE AND PRACTICE BEFORE THE COMMISSION

Art.
Sec. 501 — TREATMENT OF SECURITIES ANALYSTS BY REGISTERED SECURITIES ASSOCIATIONS AND NATIONAL SECU

Artículo Sec. 501 — TREATMENT OF SECURITIES ANALYSTS BY REGISTERED SECURITIES ASSOCIATIONS AND NATIONAL SECU. Sec. 501 — TREATMENT OF SECURITIES ANALYSTS BY REGISTERED SECURITIES ASSOCIATIONS AND NATIONAL SECURITIES EXCHANGES

Art.
Sec. 601 — AUTHORIZATION OF APPROPRIATIONS

Artículo Sec. 601 — AUTHORIZATION OF APPROPRIATIONS. Sec. 601 — AUTHORIZATION OF APPROPRIATIONS

Art.
Sec. 602 — APPEARANCE AND PRACTICE BEFORE THE COMMISSION

Artículo Sec. 602 — APPEARANCE AND PRACTICE BEFORE THE COMMISSION. Sec. 602 — APPEARANCE AND PRACTICE BEFORE THE COMMISSION

Art.
Sec. 603 — FEDERAL COURT AUTHORITY TO IMPOSE PENNY STOCK BARS

Artículo Sec. 603 — FEDERAL COURT AUTHORITY TO IMPOSE PENNY STOCK BARS. Sec. 603 — FEDERAL COURT AUTHORITY TO IMPOSE PENNY STOCK BARS

Art.
Sec. 604 — QUALIFICATIONS OF ASSOCIATED PERSONS OF BROKERS AND DEALERS

Artículo Sec. 604 — QUALIFICATIONS OF ASSOCIATED PERSONS OF BROKERS AND DEALERS. Sec. 604 — QUALIFICATIONS OF ASSOCIATED PERSONS OF BROKERS AND DEALERS

Art.
Sec. 701 — GAO STUDY AND REPORT REGARDING CONSOLIDATION OF PUBLIC ACCOUNTING FIRMS

Artículo Sec. 701 — GAO STUDY AND REPORT REGARDING CONSOLIDATION OF PUBLIC ACCOUNTING FIRMS. Sec. 701 — GAO STUDY AND REPORT REGARDING CONSOLIDATION OF PUBLIC ACCOUNTING FIRMS

Art.
Sec. 702 — COMMISSION STUDY AND REPORT REGARDING CREDIT RATING AGENCIES

Artículo Sec. 702 — COMMISSION STUDY AND REPORT REGARDING CREDIT RATING AGENCIES. Sec. 702 — COMMISSION STUDY AND REPORT REGARDING CREDIT RATING AGENCIES

Art.
Sec. 703 — STUDY AND REPORT ON VIOLATORS AND VIOLATIONS

Artículo Sec. 703 — STUDY AND REPORT ON VIOLATORS AND VIOLATIONS. Sec. 703 — STUDY AND REPORT ON VIOLATORS AND VIOLATIONS

Art.
Sec. 704 — STUDY OF ENFORCEMENT ACTIONS

Artículo Sec. 704 — STUDY OF ENFORCEMENT ACTIONS. Sec. 704 — STUDY OF ENFORCEMENT ACTIONS

Art.
Sec. 705 — STUDY OF INVESTMENT BANKS

Artículo Sec. 705 — STUDY OF INVESTMENT BANKS. Sec. 705 — STUDY OF INVESTMENT BANKS

Art.
Sec. 801 — SHORT TITLE

Artículo Sec. 801 — SHORT TITLE. Sec. 801 — SHORT TITLE

Art.
Sec. 802 — CRIMINAL PENALTIES FOR ALTERING DOCUMENTS

Artículo Sec. 802 — CRIMINAL PENALTIES FOR ALTERING DOCUMENTS. Sec. 802 — CRIMINAL PENALTIES FOR ALTERING DOCUMENTS

Art.
Sec. 803 — DEBTS NONDISCHARGEABLE IF INCURRED IN VIOLATION OF SECURITIES FRAUD LAWS

Artículo Sec. 803 — DEBTS NONDISCHARGEABLE IF INCURRED IN VIOLATION OF SECURITIES FRAUD LAWS. Sec. 803 — DEBTS NONDISCHARGEABLE IF INCURRED IN VIOLATION OF SECURITIES FRAUD LAWS

Art.
Sec. 804 — STATUTE OF LIMITATIONS FOR SECURITIES FRAUD

Artículo Sec. 804 — STATUTE OF LIMITATIONS FOR SECURITIES FRAUD. Sec. 804 — STATUTE OF LIMITATIONS FOR SECURITIES FRAUD

Art.
Sec. 805 — REVIEW OF FEDERAL SENTENCING GUIDELINES FOR OBSTRUCTION OF JUSTICE AND EXTENSIVE CRIMINA

Artículo Sec. 805 — REVIEW OF FEDERAL SENTENCING GUIDELINES FOR OBSTRUCTION OF JUSTICE AND EXTENSIVE CRIMINA. Sec. 805 — REVIEW OF FEDERAL SENTENCING GUIDELINES FOR OBSTRUCTION OF JUSTICE AND EXTENSIVE CRIMINAL FRAUD

Art.
Sec. 806 — PROTECTION FOR EMPLOYEES OF PUBLICLY TRADED COMPANIES WHO PROVIDE EVIDENCE OF FRAUD

Artículo Sec. 806 — PROTECTION FOR EMPLOYEES OF PUBLICLY TRADED COMPANIES WHO PROVIDE EVIDENCE OF FRAUD. Sec. 806 — PROTECTION FOR EMPLOYEES OF PUBLICLY TRADED COMPANIES WHO PROVIDE EVIDENCE OF FRAUD

Art.
Sec. 807 — CRIMINAL PENALTIES FOR DEFRAUDING SHAREHOLDERS OF PUBLICLY TRADED COMPANIES

Artículo Sec. 807 — CRIMINAL PENALTIES FOR DEFRAUDING SHAREHOLDERS OF PUBLICLY TRADED COMPANIES. Sec. 807 — CRIMINAL PENALTIES FOR DEFRAUDING SHAREHOLDERS OF PUBLICLY TRADED COMPANIES

Art.
Sec. 901 — SHORT TITLE

Artículo Sec. 901 — SHORT TITLE. Sec. 901 — SHORT TITLE

Art.
Sec. 902 — ATTEMPTS AND CONSPIRACIES TO COMMIT CRIMINAL FRAUD OFFENSES

Artículo Sec. 902 — ATTEMPTS AND CONSPIRACIES TO COMMIT CRIMINAL FRAUD OFFENSES. Sec. 902 — ATTEMPTS AND CONSPIRACIES TO COMMIT CRIMINAL FRAUD OFFENSES

Art.
Sec. 903 — CRIMINAL PENALTIES FOR MAIL AND WIRE FRAUD

Artículo Sec. 903 — CRIMINAL PENALTIES FOR MAIL AND WIRE FRAUD. Sec. 903 — CRIMINAL PENALTIES FOR MAIL AND WIRE FRAUD

Art.
Sec. 904 — CRIMINAL PENALTIES FOR VIOLATIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974

Artículo Sec. 904 — CRIMINAL PENALTIES FOR VIOLATIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974. Sec. 904 — CRIMINAL PENALTIES FOR VIOLATIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974

Art.
Sec. 905 — AMENDMENT TO SENTENCING GUIDELINES RELATING TO CERTAIN WHITE-COLLAR OFFENSES

Artículo Sec. 905 — AMENDMENT TO SENTENCING GUIDELINES RELATING TO CERTAIN WHITE-COLLAR OFFENSES. Sec. 905 — AMENDMENT TO SENTENCING GUIDELINES RELATING TO CERTAIN WHITE-COLLAR OFFENSES

Art.
Sec. 906 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS

Artículo Sec. 906 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS. Sec. 906 — CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS

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