• Part Number:
  • Part Number Title:
    Procedures for the Handling of Retaliation Complaints Under Section 806 of the Sarbanes Oxley Act of 2002, As Amended
  • Subpart:
    1980 Subpart A
  • Subpart Title:
    Complaints, Investigations, Findings and Preliminary Orders
  • Standard Number:
  • Title:
  • GPO Source:

As used in this part:

Act means section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002, Pub. L. 107-204, July 30, 2002, codified at 18 U.S.C. 1514A, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, July 21, 2010.
Assistant Secretary means the Assistant Secretary of Labor for Occupational Safety and Health or the person or persons to whom he or she delegates authority under the Act.
Business days means days other than Saturdays, Sundays, and Federal holidays.
Company means any company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l) or any company required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(d)) including any subsidiary or affiliate whose financial information is included in the consolidated financial statements of such company.
Complainant means the employee who filed a complaint under the Act or on whose behalf a complaint was filed.
Covered person means any company, including any subsidiary or affiliate whose financial information is included in the consolidated financial statements of such company, or any nationally recognized statistical rating organization, or any officer, employee, contractor, subcontractor, or agent of such company or nationally recognized statistical rating organization.
Employee means an individual presently or formerly working for a covered person, an individual applying to work for a covered person, or an individual whose employment could be affected by a covered person.
Nationally recognized statistical rating organization means a credit rating agency under 15 U.S.C. 78c(61) that:
Issues credit ratings certified by qualified institutional buyers, in accordance with 15 U.S.C. 78o-7(a)(1)(B)(ix), with respect to:
Financial institutions, brokers, or dealers;
Insurance companies;
Corporate issuers;
Issuers of asset-backed securities (as that term is defined in section 1101(c) of part 229 of title 17, Code of Federal Regulations, as in effect on September 29, 2006);
Issuers of government securities, municipal securities, or securities issued by a foreign government; or
A combination of one or more categories of obligors described in any of paragraphs (h)(1)(i) through (v) of this section; and
Is registered under 15 U.S.C. 78o-7.
OSHA means the Occupational Safety and Health Administration of the United States Department of Labor.
Person means one or more individuals, partnerships, associations, companies, corporations, business trusts, legal representatives or any group of persons.
Respondent means the person named in the complaint who is alleged to have violated the Act.
Secretary means the Secretary of Labor or persons to whom authority under the Act has been delegated.
Any future statutory amendments that affect the definition of a term or terms listed in this section will apply in lieu of the definition stated herein.