SOX and conviction 1884

  • Guys,
    Do you know where I can get data on SOX and the conviction it netted? In otherwords, are there any data on what happens to corporations that do not comply to Sarbanes?

  • Hi JC - Welcome to the forums šŸ™‚
    Most likely outside of highly publicized events, this information might be private between the SEC and offending company? These links may help in your research:
    Please add www and paste into browser violations violators
    No www is needed - paste into browser
    SEC - Site Map (please add www and paste in browser)

  • I just read this thread now (more than a month after the last post), but Iā€™d still like to comment.
    My thought would be that this information would not be kept private between the SEC and the offending company. If we can use history as a guide, the SEC and listing exchanges have been quite active in making public the trespasses of companies. For instance, the NASDAQ did not bat an eyelash in publicly chastising Dell for its accounting irregularities last year.
    So, while I do not know this for certain, I would say that any SOX infractions would likely find their way into the financial newspapers. At the very least, the offending company would probably have to file an 8-K.

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