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- W1600341888 abstract "Beginning in the spring of 2002, the Securities and Exchange Commission (the Commission) set out to acquire the power to suspend or bar individuals from serving as an officer or director of a public company. The Commission had long enjoyed the administrative power to suspend or bar brokers, investment advisers, and investment company managers.2 Since 1990, it had also had the power to seek a court order suspending or barring securities law violators from serving as a public company officer or director.3 In the Commission's view, several changes in the existing regime seemed necessary. First, the Commission wanted to modify the standard applied by federal courts when considering requests for suspension or bar orders. Second, and perhaps more importantly, it wanted to eliminate the need to go to court in order to secure a suspension or bar order against securities law violators. With the passage of the Sarbanes-Oxley (the Act or Sarbanes-Oxley) in July 2002, 4 the Commission has apparently seen its dreams (on this issue) come true. First, the Sarbanes-Oxley now provides that, in order for a federal district court to enter a suspension or bar order, it need only find that the defendant before it is unfit.5 This standard is a change from the prior formulation, which" @default.
- W1600341888 created "2016-06-24" @default.
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- W1600341888 date "2004-01-01" @default.
- W1600341888 modified "2023-09-26" @default.
- W1600341888 title "SEC Debarment of Officers and Directors After Sarbanes-Oxley" @default.
- W1600341888 hasPublicationYear "2004" @default.
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