Portfolio : Corporate Governance of the Financial Reporting Process

Wks. 1 CEO and CFO Certifications of Financial Statements Under Section 302 of the Sarbanes-Oxley Act

Wks. 2 In the Matter of Robert C. Guccione, Securities Exchange Act Rel. No. 34–51073 (Jan. 24, 2005)

Wks. 3 Report of Investigation in the Matter of Stirling Homex Corporation Relating to Activities of the Board of Directors of Stirling Homex Corporation, Securities Exchange Act Release No. 34–11516 (July 2, 1975)

Wks. 4 Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the Investigation of Gould Inc., Securities Exchange Act Release No. 34–13612 (June 9, 1977)

Wks. 5 Report of Investigation in the Matter of National Telephone Co., Inc., Relating to Activities of the Outside Directors of National Telephone Co., Inc., Securities Exchange Act Release No. 34–14380 (January 16, 1978)

Wks. 6 Report of Investigation in the Matter of the Cooper Companies, Inc. as it Relates to the Conduct of Cooper's Board of Directors, Securities Exchange Act Release No. 34–35082 (December 12, 1994)

Wks. 7 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Concerning the Conduct of Certain Former Officers and Directors of W.R. Grace & Co., Securities Exchange Release No. 34–39157 (Sept. 30, 1997)

Wks. 8 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, Securities Exchange Act Release No. 44969 (Oct. 23, 2001)

Wks. 9 In the Matter of Incomnet, Inc., Joel W. Greenberg, and Stephen A. Caswell, Securities Exchange Act Release No. 34–40281 (July 30, 1998)

Wks. 10 In the Matter of John E. Backlund, John H. Hankins, Howard L. Peterson and John G. Guffey, Securities Act Release No. 33–7626 (Jan. 11, 1999)

Wks. 11 In the Matter of Massachusetts Turnpike Authority and James J. Kerasiotes, Securities Act Release No. 33–8260 (July 31, 2003)

Wks. 12 In the Matter of Ture Roland Fahlin, Securities Exchange Act Release No. 34–50519 (Oct. 13, 2004)

Wks. 13 In the Matter of Tyson Foods, Inc. and Donald Tyson, Securities Exchange Act Release No. 34–51625 (April 28, 2005)

Wks. 14 In the Matter of Michael Marchese, Securities Exchange Act Release No. 34–47732 (April 24, 2003)

Wks. 15 Securities and Exchange Commission v. Chancellor Corporation, Brian Adley, Franklyn Churchill, David Vople, Jonathan Ezrin, Rudolph Peselman, Gregory Davis and BKR Metcalf Davis, CA No. 03–10762 (MEL)(D. Mass. April 24, 2003), Complaint

Wks. 16 In the Matter of The Rockies Fund, Inc., Stephen G. Calendrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power, Securities and Exchange Act Release No. 34–48590 (Oct. 2, 2003)

Wks. 17 Securities and Exchange Commission v. Ocumed Group, Inc., Alfred Caggia, and Louise Cummings, C.A. No. 1:04CV00829 (D.D.C. May 24, 2004) Complaint

Wks. 18 In the Matter of John E. Isselmann, Jr., Securities Exchange Act Release No. 34–50428 (Sept. 23, 2004)

Wks. 19 SEC v. Cedric Kushner Promotions, Inc., et al., 417 F. Supp. 2d 326 (S.D.N.Y. 2006)