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Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Susan P. Koniak, George M. Cohen, Roger C. Cramton
Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Susan P. Koniak, George M. Cohen, Roger C. Cramton
Faculty Scholarship
This Article examines the legal and ethical duties of lawyers after Sarbanes-Oxley, focusing on the application, interpretation and ambiguities of the SEC rule implementing Section 307. Although our primary frame of reference will be on the SEC's new rules as an aspect of lawyer regulation, those rules are part of federal securities laws and should be considered in that aspect, i.e., whether they advance the purposes of the federal securities laws. The rules affecting lawyers should not be assessed in a vacuum as a mere turf war between federal regulators on the one hand and the organized bar and its …