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Unformatted text preview: Chapter 15 - Sarbanes-Oxley and Securities Regulations CHAPTER 15 SARBANES-OXLEY AND SECURITIES REGULATIONS I. LEARNING OBJECTIVES This chapter is designed as an introduction to the complex legal area of securities. The student is exposed to the expansive meaning given the term security . Details of the Sarbanes-Oxley Act of 2002 are included as a discussion of the federal government’s response to the numerous recent corporate scandals. Furthermore, the student should gain a basic knowledge of the federal laws that regulate the initial issuance and the subsequent sales of securities. Finally, the student is introduced to securities regulation by state governments. When the study of this chapter is completed, the student should realize the technicalities of this subject matter and the need for competent legal advice about any phase of securities regulation. II. REFERENCES Ali, P. and G. Gregoriou, International Corporate Governance After Sarbanes-Oxley . Wiley Pub. (2006). Banks, E., The Failure of Wall Street: How and Why Wall Street Fails and What Can be Done About It . Palgrave Macmillan (2004). Biegelman, M.T. and J. Bartow, Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance . Wiley Pub. (2006). Bloomenthal, H.S., Going Public Handbook . West Publishing (2003). Geisst, C., Undue Influence: How the Wall Street Elite Put the Financial System at Risk . Wiley Pub. (2005). Green, S., Sarbanes-Oxley and the Board of Directors: Techniques and Best Practices for Corporate Governance . Wiley Pub. (2005). Hamill, P.J. and B.M. O’Neill, Securities Law Digest . West Publishing (2003). Hazen, T., Hazen’s Concise Hornbook on Principles of Securities Regulation . West Publishing (2005). Kleeburg, R., Initial Public Offering . Thomson/Texere (2005). Niskanen, W., After Enron: Lessons for Public Policy . Rowman & Littlefield Publishers (2005). 15-1 Chapter 15 - Sarbanes-Oxley and Securities Regulations Nofsinger, J. and K. Kim, Infectious Greed: Restoring Confidence in America’s Companies . Financial Times Prentice-Hall (2003). Northrup, C.L., Profitable Sarbanes-Oxley Compliance: Attain Shareholder Value and Bottom- Line Results . J. Ross Pub. (2006). O’Brien, J., Wall Street on Trial: A Corrupted State ? Wiley Pub. (2003). Partnoy, F., Infectious Greed: How Deceit and Risk Corrupted the Financial Markets . H. Holt and Co. (2003). Quarterman, J., Risk Management Solutions for Sarbanes-Oxley Section 404 IT Compliance . Wiley Pub. (2006). Taylor, H., The Joy of SOX: Why Sarbanes-Oxley and Service-Oriented Architecture May Be the Best Thing that Ever Happened to You . Wiley Pub. (2006). Vise, D. and M. Malseed, The Google Story . Delacorte Press (2005)....
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