Responsibilities of Corporate Officers and Directors: Under Federal Securities Law |
Contents
INTRODUCTION | 13 |
CHAPTER 1CORPORATE GOVERNANCE | 21 |
CHAPTER 2REGISTRATIONRELATED LIABILITIES | 41 |
Copyright | |
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accounting action alleged analysts antifraud approval audit client audit committee financial audit committee members auditors board of directors business judgment business judgment rule CCH Dec claim Commission committee financial expert company's conduct Corp corporate D&O insurance D&O policies defense costs derivative security director or officer directors and officers disclose discussed employee enforcement equity securities example Exchange Act Section federal securities laws fees filed financial reporting financial statements foreign private issuers Form 8-K fund's indemnification independent directors insider trading interest internal controls investors involving liability litigation ment Model Bus mutual fund N.Y. Bus nonpublic information officer or director officers and directors ownership person prohibited proxy statement public disclosure public policy purchase purposes pursuant registered Regulation FD require safe harbor Sarbanes-Oxley Act Schedule 13D SEC rules SEC's Section 16(b selective disclosure settlement shareholders shares standard statute tender offer tion transactions trust underlying underwriter violations