Recent SEC Internet-Related Enforcement Actions

Recent SEC Internet-Related Prime Bank Enforcement Actions

Internet-Related SEC Interpretive Releases

Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release No: 34-47809, 35-27674, IC-26044, File No.: S7-52-02, Effective Date:  June 30, 2003.
Compliance Date: June 30, 2003. See also: Proposed Rule Rel. No. 33-8170 and comments; Summary of Comments

SEC Portals Roundtable:  Relationships Between Broker-Dealers and Internet Web Sites  (May 2001)

Recent SEC Final Rules

Recent SEC Press Announcements

Recent SEC Enforcement Actions

Staying the Course

by Stephen M. Cutler, Director SEC Division of Enforcement (March 2005)

Tone at the Top: Getting it Right

The Themes of Sarbanes-Oxley as Reflected in the Securities and Exchange Commission's Enforcement Program  

Remarks Before the National Regulatory Services Investment Adviser and 

Broker-Dealer Compliance/Risk Management Conference 

by Stephen M. Cutler, Director, SEC Division of Enforcement (September 2003)

Application of the January 2003 Rules on Auditor Independence Frequently Asked Questions

Spotlight:  Sarbanes-Oxley Rulemaking and Press Announcements (August 2003)

Website of Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Hearing on H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003 (June 2003)

	Text of the H.R. 2179
	Testimony of Stephen M. Cutler, Director, SEC Division of Enforcement

SEC Implements Internal Control Provisions of Sarbanes-Oxley Act; 

Adopts Investment Company R&D Safe Harbor (June 2003)

Research Analyst Global Settlement (April 2003)

SEC Amends Definition of "Dealer" for Banks, Adopts Analyst Certification Rule (February 2003)

SEC Implements Sarbanes-Oxley (January 2003)

	Attorney Conduct
	Retention of Auditor Records
	Off Balance Sheet Disclosure Arrangements
	Auditor Independence
	Investment Company Shareholder Report Certification

Remarks Before the American Institute of Certified Public Accountants 

by Stephen M. Cutler, Director, SEC Division of Enforcement (December 12, 2002)

Text of Sarbanes-Oxley Act of 2002