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Security Act of 1974; and Section 905 requires the US Sentencing Commission to review the Federal Sentencing Guidelines to ascertain that they reflect the serious nature of securities and accounting fraud Criminal Penalties under Section 906 Section 906 is one the most controversial sections of Title IX, as it creates criminal penalties for a public company s CEO and the CFO (or equivalent) in regard to certification of SEC quarterly and annual reports Under Section 906, the CEO and CFO must certify that the quarterly and annual reports, which contain the financial statements and are submitted to the SEC as required under Section 13(a) or 15(d) of the Securities Exchange Act of 1934, comply fully with the provisions of the Securities Exchange Act In addition, they must certify that the reports fairly present the operations and financial condition of the company This certification is in addition to the certification that is required under Title III, Section 302 The maximum penalties for willful and knowing violations under Section 906 are a fine of not more that $5,000,000, imprisonment of up to 20 years, or both Title X: Corporate Tax Returns Title X contains only one section, Section 1001, and does not require any action by any party Section 1001 expresses Congress belief that the corporation s CEO should sign the Federal income tax return of a corporation Title XI: Corporate Fraud Accountability Act of 2002 Title XI, also referred to as the Corporate Fraud Accountability Act of 2002, creates new crimes and penalties acts, and gives the SEC authority to institute additional fraud disincentives Two sections of Title XI, Sections 1102 and 1107, apply to all corporations, including nonprofits SEC Disincentives Two sections, Sections 1103 and 1105, give the SEC authority to institute new fraud disincentives During the course of an investigation of possible violations of securities law, Section 1103 gives the SEC the authority to petition a Federal court to freeze the payment of any extraordinary payment to any director, officer, partner, controlling person, agent, or employee of a company for up to 45 days This section gives the SEC the authority to prohibit, either conditionally or unconditionally, and permanently bar a person from serving as an officer or director of a public company if the person has committed securities fraud
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New Crimes and Penalties Under Section 1104, Congress requests the US Sentencing Commission to review the Federal Sentencing Guidelines and to consider changes that would enhance the sentences of officers and directors of public companies who commit acts of fraud and related offenses Section 1106 increased the criminal penalties, both fines and prison terms, for violations of the Securities Exchange Act of 1934 Provisions that Apply to Nonprofits Section 1102 Section 1102 defines the tampering of any record or document to impair the object s integrity for use in an official proceeding as a crime This section also makes obstructing, influencing, or impeding any official proceeding, or attempts to do so, a crime The penalties for violation are a fine, imprisonment of up to 20 years, or both Section 1107 Section 1107 makes it a crime and imposes criminal penalties for any organization to retaliate or take any harmful action against any person who has provided any truthful information regarding the commission of any Federal offense to a law enforcement officer This applies to an actual commission of an offense, and to the possible commission of an offense A reasonable belief or suspicion that an offense has been committed is sufficient to create protection for the employee Under this section, any harmful action includes interference with the employment or livelihood of the employee This thus prohibits the organization from firing, demoting, suspending, harassing, refusing to promote, or reprimanding the employee The penalties for violations include a fine, or imprisonment up to 10 years, or both
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