Gatekeeping Issues Related to SEC Pronouncements

Leading Practices in Sarbox 307 Up-The-Ladder Reporting and Attorney Professional Conduct Programs

SOX Rules for Lawyer Conduct
(This is an Issue-Annotated Version and is a work in progress. Please check from time to time for updates.)

ABA Adopts New Model Rules Affecting In-House Practice
(The ABA model rule changes create new a Model Rule 1.6 and a new Model Rule 1.13; these rules set lawyer conduct standards for confidentiality and reporting up the ladder.)

Emerging And Leading Practices In Sarbox 307 Up-The-Ladder Reporting And Attorney Professional Conduct Programs: What Companies And Law Firms Are Doing Revised August 29, 2003

The New Sarbanes-Oxley Attorney Responsibility Standards
(Section 307 of the Sarbanes-Oxley Act establishes new standards of professional conduct for attorneys who appear and practice before the SEC in the representation of a public company. Read this article to learn how you can meet your new obligations.)

March 19, 2003: Maybe You Need A Lawyer: Does The Sarbanes-Oxley Act Make The SEC Your Client?
In light of the new requirements established by the Sarbanes-Oxley Act, what do in-house counsel of public companies need to do in order to protect both their clients and themselves? Read this article to learn how you can use outside counsel to navigate these complex legal issues.

March 19, 2003: A First Look at the Final Sarbanes-Oxley Regulations Governing Corporate Counsel
On January 29, 2003, the U.S. Securities and Exchange Commission ("SEC") issued its final rule implementing ¤ 307 of the Sarbanes-Oxley Act of 2002. The rule derives from the ABA's Model Rule 1.13, "The Organization as Client," which introduced the principle that a corporate lawyer may be required to go "up the corporate ladder" if the lawyer knows of serious misconduct by corporate officials.

February 11, 2003: In-House Counsel as Corporate Cop-Up the Ladder or Down the Chute?
(This article discusses recent changes in the SEC Rules relevant to in-house counsel. It is written by one of the authors of the March 2003 ACCA Docket cover story on whistleblowers under the Sarbanes-Oxley Act.)

SEC Implements Standards of Professional Conduct for Attorneys
(This is an overview of the SEC new rules regulating the conduct of attorneys practicing before the Commission and its alternative proposal that would create an 8-K public reporting requirement by the board, triggered by a lawyer's mandatory withdrawal from the representation in the event of uncorrected client actions.)