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Responsibilities of Corporate Officers and Directors Under Federal Securities Law, 2010-2011 Edition

Responsibilities of Corporate Officers and Directors Under Federal Securities Law, 2010-2011 Edition

Responsibilities of Corporate Officers and Directors Under Federal Securities Law, 2010-2011 Edition

Author: James Hamilton; Ted Trautmann
Publisher: Aspen
ISBN: 9780808025740
Published In: October 2010
Format: Paperback
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Contents

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Responsibilities of Corporate Officers and Directors under Federal Securities Law alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules, administrative interpretations, and court decisions dealing with securities offerings and transactions, those of particular interest to corporate officers and directors as individuals are discussed here. The materials focus on the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as pertinent provisions of the Investment Company Act of 1940.

The 2010 -2011 Edition includes new discussion of the following:

Dodd-Frank Wall Street Reform and Consumer Protection Act
Shareholder access to proxies
SEC enforcement
Recent case law on fraud liability
Proxy disclosure concerning Chairman-CEO role, hedging arrangements, compensation consultants

INTRODUCTION

CORPORATE GOVERNANCE
REGISTRATION-RELATED LIABILITIES
FRAUD LIABILITY
SHAREHOLDER DERIVATIVE ACTIONS
CORPORATE REPORTS
PROXIES
TAKEOVERS AND TENDER OFFERS
SEC ENFORCEMENT
INSIDER STOCK OWNERSHIP REPORTS
SHORT-SWING PROFITS
INSIDER SHORT SALES
RESALES OF RESTRICTED STOCK--RULE 144
INVESTMENT COMPANIES
INDEMNIFICATION
D&O INSURANCE
AUDIT COMMITTEES
REGULATION FD
EXECUTIVE COMPENSATION

Glossary

Finding List

Topical Index

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