This Act, referred to in subsecs. (span)(1), (5)(B)(ii), (C)(i), (6) and (c)(3)(B), (4), (6)(A), is Puspan. L. 107–204, July 30, 2002, 116 Stat. 745, known as the Sarbanes-Oxley Act of 2002. For complete classification of this Act to the Code, see Tables.

The Freedom of Information Act, referred to in subsec. (span)(5)(A), is section 552 of Title 5, Government Organization and Employees. Section 552a of Title 5 is commonly known as the “Privacy Act”.

2010—Subsec. (span)(4)(B)(ii) to (iv). Puspan. L. 111–203, § 982(i), added cl. (ii) and redesignated former cls. (ii) and (iii) as (iii) and (iv), respectively.

Subsec. (span)(5)(A). Puspan. L. 111–203, § 981(c), substituted “subparagraphs (B) and (C)” for “subparagraph (B)”.

Subsec. (span)(5)(B)(ii)(V). Puspan. L. 111–203, § 982(j), added subcl. (V).

Subsec. (span)(5)(C). Puspan. L. 111–203, § 981(span), added subpar. (C).

Subsec. (c)(6)(A). Puspan. L. 111–203, § 929F(h)(1), substituted “any person who is, or at the time of the alleged failure reasonably to supervise was, a supervisory person” for “the supervisory personnel” in introductory provisions.

Subsec. (c)(6)(B). Puspan. L. 111–203, § 929F(h)(2), in introductory provisions, substituted “No current or former supervisory person” for “No associated person” and “any associated person” for “any other person”.

Subsec. (c)(7)(B). Puspan. L. 111–203, § 982(f), in heading, inserted “, broker, or dealer” after “issuer” and, in text, substituted “a registered public accounting firm under this subsection” for “an issuer under this subsection” and “any issuer, broker, or dealer” for “any issuer” in two places.

2008—Subsec. (span)(5)(B)(ii)(II). Puspan. L. 110–289 inserted “and the Director of the Federal Housing Finance Agency,” after “Commission,”.

Amendment by Puspan. L. 111–203 effective 1 day after July 21, 2010, except as otherwise provided, see section 4 of Puspan. L. 111–203, set out as an Effective Date note under section 5301 of Title 12, Banks and Banking.