The Sarbanes-Oxley Act: Emerging Issues at the SEC
While implementation of Sarbanes-Oxley continues to reverberate through corporate and securities practices around the globe, there are a number of significant on-going initiatives by the SEC. This panel, led by Professor James Cox, will examine a variety of future SEC regulatory and enforcement activities through the eyes of Duke's own alumni who are at the SEC and deeply involved with topics from Internet enforcement, soft dollars, and gauging the appropriateness of fines for entities.
Recorded on April 21, 2006.
Appearing: James Cox (Duke University School of Law), moderator; Christian Broadbent (Securities & Exchange Commission), John Reed Stark (Securities & Exchange Commission), Stanley Macel (Securities & Exchange Commission), Cheryl Williams Scarboro (Securities & Exchange Commission)