Added |
| SECTION |
DESCRIPTION |
SARBANES-OXLEY |
Securities Act of 1933
|
|
|
| Sec. 8A(f) |
Officer and director bars |
Sec. 1105(b) |
| Sec. 19(b) |
Accounting standards |
Sec. 108(a) |
| Sec. 20(g) |
Penny stock bars |
Sec. 603(b) |
| |
|
|
Securities Exchange Act of 1934
|
|
|
| Sec. 3(a)(58) |
Audit committee |
Sec. 205(a) |
| Sec. 3(a)(59) |
Registered public accounting firm |
Sec. 205(a) |
| Sec. 4C |
Practice before the SEC |
Sec. 602 |
| Sec. 10A(g) |
Prohibition on non-audit services |
Sec. 201(a) |
| Sec. 10A(h) |
Pre-approval of non-audit services |
Sec. 201(a) |
| Sec. 10A(i) |
Pre-approval requirements |
Sec. 202 |
| Sec. 10A(j) |
Audit partner rotation |
Sec. 203 |
| Sec. 10A(k) |
Reports to audit committees |
Sec. 204 |
| Sec. 10A(l) |
Conflicts of interest |
Sec. 206 |
| Sec. 10A(m) |
Audit committee standards |
Sec. 301 |
| Sec. 13(i) |
Accuracy of financial reports |
Sec. 401(a) |
| Sec. 13(j) |
Off-balance sheet transactions |
Sec. 401(a) |
| Sec. 13(k) |
Prohibition on loans to executives |
Sec. 402 |
| Sec. 13(l) |
Real time disclosures |
Sec. 409 |
| Sec. 15(b)(4)(H) |
Broker and dealers |
Sec. 604(a) |
| Sec. 15D |
Securities analysts |
Sec. 501(a) |
| Sec. 21(d)(5) |
Equitable relief |
Sec. 305(b) |
| Sec. 21(d)(6) |
Penny stock bars |
Sec. 603(a) |
| Sec. 21C(c)(3) |
Temporary freeze of assets |
Sec. 1103(a) |
| Sec. 21C(f) |
Officer and director bars |
Sec. 1105(a) |
| |
Investment Advisers Act of 1940
|
|
|
| Sec. 203(e)(9) |
Investment advisor registration |
Sec. 604(b) |
| |
|
|
Amended |
| SECTION |
DESCRIPTION |
SARBANES-OXLEY |
Securities Act of 1933
|
|
|
| Sec. 20(d)(3)(A) |
Conforming amendment |
Sec. 308(d)(3) |
| Sec. 20(e) |
Officer and director bars |
Sec. 305(a)(2) |
| |
Securities Exchange Act of 1934
|
|
|
| Sec. 3(a)(39)(F) |
Conforming amendment |
Sec. 604(c)(1)(A) |
| Sec. 3(a)(47) |
Conforming amendment |
Sec. 2(b) |
| Sec. 10A |
Conforming amendments |
Sec. 205(b) |
| Sec. 10A(f) |
Conforming amendment |
Sec. 205(d) |
| Sec. 12(b)(1) |
Conforming amendment |
Sec. 205(c)(1) |
| Sec. 12(i) |
Conforming amendment |
Sec. 3(b)(4) |
| Sec. 13(b)(2) |
Conforming amendment |
Sec. 109(h) |
| Sec. 15(b)(4)(F) |
Brokers and dealers |
Sec. 604(a)(1) |
| Sec. 15(b)(6)(A)(i) |
Conforming amendment |
Sec. 604(c)(1)(B) |
| Sec. 15B(c)(2) |
Conforming amendment |
Sec. 604(c)(1)(B) |
| Sec. 15B(c)(4) |
Conforming amendment |
Sec. 604(c)(1)(B) |
| Sec. 15C(c)(1)(A) |
Conforming amendment |
Sec. 604(c)(1)(B) |
| Sec. 15C(c)(1)(C) |
Conforming amendment |
Sec. 604(c)(1)(B) |
| Sec. 16(a) |
Insider disclosures |
Sec.403(a) |
| Sec. 17(e) |
Conforming amendment |
Sec. 205(c)(2) |
| Sec. 17(i) |
Conforming amendment |
Sec. 205(c)(2) |
| Sec 17A(c)(3)(A) |
Conforming amendment |
Sec. 604(c)(1)(C) |
| Sec 17A(c)(4)(C) |
Conforming amendment |
Sec. 604(c)(1)(C) |
| Sec. 21(a)(1) |
Conforming amendment |
Sec. 3(b)(2)(A) |
| Sec. 21(d)(1) |
Conforming amendment |
Sec. 3(b)(2)(B) |
| Sec. 21(d)(2) |
Officer and director bars |
Sec. 305(a)(1) |
| Sec. 21(d)(3)(C)(i) |
Conforming amendment |
Sec. 308(d)(1) |
| Sec. 21(e) |
Conforming amendment |
Sec. 3(b)(2)(C) |
| Sec. 21(f) |
Conforming amendment |
Sec. 3(b)(2)(D) |
| Sec. 21A(d)(1) |
Conforming amendment |
Sec. 308(d)(2) |
| Sec. 21B(a) |
Conforming amendment |
Sec. 501(b) |
| Sec. 21C(c)(2) |
Conforming amendment |
Sec. 3(b)(3) |
| Sec. 21C(c)(2) |
Technical amendment |
Sec.
1103(b) |
| Sec. 32(a) |
Increased criminal penalties |
Sec. 1106 |
| Sec. 35 |
SEC appropriations |
Sec. 601 |
| |
|
|
Investment Company Act of 1940
|
|
|
| Sec. 42(e)(3)(A) |
Conforming amendment |
Sec. 308(d)(4) |
| |
Investment Advisers Act of 1940
|
|
|
| Sec. 203(e)(7) |
Investment advisor registration |
Sec. 604(b)(1) |
| Sec. 203(f) |
Conforming amendment |
Sec. 604(c)(2) |
| Sec. 209(e)(3)(A) |
Conforming amendment |
Sec. 308(d)(5) |
