SEC Enforcement Focus Shifting To Individuals: Report
According to NERA's fiscal year-end SEC Settlements Trends report, released Monday, individuals are more likely than companies to be targeted in cases alleging misstatements in the Sarbanes-Oxley Act era.
Public company misstatements are among the most frequent allegations in SEC enforcement actions, the report said.
Since SOX was passed in 2002 to the end of fiscal year 2009,...
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