SEC May Be Regulating By Enforcement With Atty Actions

By Charles Miller, Richard Lomuscio and Robert Heim (May 16, 2023, 4:09 PM EDT) — For certain securities practitioners, any mention of “SOX” outside of baseball is liable to evoke memories of the early aughts when Congress passed the Sarbanes-Oxley Act of 2002. SOX was apparently Congress’ effort to address a perception that the government needed to do more to regulate professionals serving corporate clients….

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