Responsibilities of Corporate Officers and Directors Under Federal Securities Law

by Doreen Meinck, James Hamilton, Anne Sherry

Responsibilities of Corporate Officers and Directors Under Federal Securities Law helps mitigate personal risk for management and board members by assuring they have a complete understanding of their duties and liabilities under the federal securities laws. Wolters Kluwer attorney-editors Doreen Meinck, Jim Hamilton and Anne Sherry examine duties and liabilities under the Securities Act of 1933 and the Securities Exchange Act of 1934, relevant portions of the Investment Company Act of 1940 relating to mutual funds, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the JOBS Act, and the Sarbanes-Oxley Act of 2002. Responsibilities of Corporate Officers and Directors Under Federal Securities Law also discusses important areas of state law such as the business judgment rule, a state law doctrine shielding directors and officers from liability in the conduct of ordinary corporate affairs and certain actions such as takeovers and tender offers. Other topical areas Individual liability in connection with a company s securities offerings, mergers and acquisitions, and investment company directors. New material in the 2014 -2015 Edition includes new or expanded discussions

407 pages, ebook

First published December 11, 2014