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A Trap for the Unwary Attorney SEC Rule 13b2-2: Improper Influence on Conduct of Audits, American Bar Association, Section of Litigation, Securities Litigation Committee, Securities Litigation, Vol. 15, No. 1, Fall 2004

The SEC adopted Rule 13b2-2 as part of the Sarbanes-Oxley Act of 2002, with the intention of precluding issuers, their officers, directors and others, including attorneys, from misleading independent public accountants. The Rule affects attorneys representing issuers, private or public, including broker-dealers and investment advisers that file with the SEC financial statements audited or reviewed […]

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