• SEC Adopts Rules Implementing Certification Requirements of Sarbanes- Oxley Act for Unit Investment Trusts and Other Investment Companies
  • August 12, 2003
  • Law Firm: Sutherland Asbill & Brennan LLP - Washington Office
  • On August 28, 2002, the Securities and Exchange Commission (the "SEC" or "Commission") adopted new rules to implement the certification requirements of Section 302 of the Sarbanes-Oxley Act of 2002 ("Sarbanes-Oxley"). These new requirements apply to all registered investment companies, including separate accounts registered as unit investment trusts under the Investment Company Act of 1940 (the "1940 Act").