Continuing Legal Education Sessions Include Impact of Sarbanes-Oxley Act on Electronic Filings to the SEC by Corporations and Investment Management Companies

NEW YORK, June, 2004—Command Financial Press, the New York-based financial printer known for its open-architecture technology, has received accreditation by the New York State Continuing Legal Education (CLE) Board to offer "EDGAR Information," an overview and update on the Securities and Exchange Commission’s electronic filing system, EDGAR, emphasizing the many changes resulting from the Sarbanes-Oxley Act of 2002.

The two-credit course is designated "transitional and nontransitional," i.e., appropriate for both newly admitted and experienced attorneys, and comprises one CLE credit hour each in Law Practice Management and Professional Practice. It is led by Command’s Director of EDGAR Services, Lenny Goldstein, a member of the Consortium of Filing Agents and Software Developers, an industry group that provides feedback on EDGAR technical issues to the SEC. (EDGAR is an acronym for Electronic Data Gathering, Analysis and Retrieval system.) Mr. Goldstein has been a speaker at numerous EDGAR seminars, before the American Society of Corporate Secretaries and at presentations to investment management companies.

"The SEC recognized the key role of financial printers in securities filings when it included a printer as part of the original EDGAR development team." James Penders, Command’s president, said. He noted that the Command 2004 Proxy Rule Book , the 12th annual edition, contained more rules changes than any of the previous editions, largely due to the Sarbanes-Oxley Act’s new disclosure obligations. "We have seen a surge in filing-related questions from clients in recent months and based on that, proposed an EDGAR-filing course to the CLE Board, which it approved."

The presentation focuses on pertinent aspects of Sarbanes-Oxley as well as common form/submission types, filing deadlines and EDGAR formats and terminology. Command has designed two modules, one focusing on filings by publicly held companies, to the SEC’s Division of Corporation Finance; the second with additional emphasis given to filings by mutual funds and others to the Division of Investment Management.

Securities law attorneys interested in discussing an on-site EDGAR seminar should contact Bruce Bezpa, Command Financial Press, 212-274-0700, e-mail: (JavaScript must be enabled to view this email address).

Command Financial Press (http://www.commandfinancial.com) is one of the country’s largest privately held financial printers offering the latest technology-based solutions and personalized service to the corporate, financial and legal communities.

 

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