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  • SEC prohibits the listing of any company that is not in compliance with paragraphs (2) thru (6) Section 301 of The Sarbanes-Oxley Act.


  • All relief necessary to make an employee (whistleblower) whole.


  • Forfeiture of certain bonuses and profits.


  • Prohibition from serving on other Boards.


  • Criminal and civil action.


  • Fines ranging from $100,000 to $25 million.


  • Prison terms up to 20 years.



Sarbanes-Oxley Act SEC Rules Exchange Rules



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