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薩班斯法案(2002)Sec.101.(6)

來源: www.sarbanes-oxley-forum.com 編輯: 2011/01/05 16:19:33 字體:

  (g)RULES OF THE BOARD.-The rules of the Board shall,subject to the approval of the Commission-

  (1)provide for the operation and administration of the Board,the exercise of its authority,and the performance of its responsibilities under this Act;

  (2)permit,as the Board determines necessary or appropriate,delegation by the Board of any of its functions to an individual member or employee of the Board,or to a division of the Board,including functions with respect to hearing,determining,ordering,certifying,reporting,or otherwise acting as to any matter,except that-

  (A)the Board shall retain a discretionary right to review any action pursuant to any such delegated function,upon its own motion;

  (B)a person shall be entitled to a review by the Board with respect to any matter so delegated,and the decision of the Board upon such review shall be deemed to be the action of the Board for all purposes(including appeal or review thereof);and

  (C)if the right to exercise a review described in subparagraph(A)is declined,or if no such review is sought within the time stated in the rules of the Board,then the action taken by the holder of such delegation shall for all purposes,including appeal or review thereof,be deemed to be the action of the Board;

  (3)establish ethics rules and standards of conduct for Board members and staff,including a bar on practice before the Board(and the Commission,with respect to Board-related matters)of 1 year for former members of the Board,and appropriate periods(not to exceed 1 year)for former staff of the Board;and

  (4)provide as otherwise required by this Act.

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