Informal Corporate Disclosure Under Federal Securities Law

James, Hamilton

Anne, Sherry

Ted Trautmann

Reference

CCH, Incorporated

Responsibilities of Corporate Officers and Directors Under Federal Securities Law, 2013-2014 Edition, alerts board members and management to their 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 are discussed in the guide.
 The materials focus primarily on duties and liabilities under the Securities Act of 1933 and the Securities Exchange Act of 1934 , which together form the organic core of federal securities regulation. In addition, relevant portions of the Investment Company Act of 1940 , which regulates mutual funds, are discussed. Moreover, throughout the guide, there are discussions of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Sarbanes-Oxley Act of 2002.
 The book also discusses state law, primarily to distinguish its role from that of federal law in the area of securities regulation. For example, the business judgment rule, which is a state law doctrine shielding directors and officers from liability in the conduct of ordinary corporate affairs, applies in certain contests regulated by the federal securities laws, such as takeovers and tender offers. The discussion that follows identifies the principal provisions affecting officers and directors personally with respect to their corporate roles. This includes examination of key SEC mandates in the arena of corporate governance, for example. The guide also discusses proxies and corporate reporting, as well individual liability in connection with a company s securities offering, mergers and acquisitions. Also examined are the following topics: indemnification and D&amp;O insurance; investment company directors; insider reporting under Exchange Act Section 16; and Regulation FD.

Responsibilities of Corporate Officers and Directors Under Federal Securities Law, 2013-2014 Edition

Business & Money

Doreen Meinck

Investing

Wolters Kluwer/Law & Business

Sherry Anne, an award-winning artist, is a featured singer, speaker and author at various events across the country and beyond. Born partially deaf and speech-impaired, she overcame great obstacles to achieve her Doctorate degree and other accolades, making it her mission to inspire others to live a life of hope, passion, faith and ambition. In 2017, Sherry Anne's niece and nephew lost their mother to cancer at a young age. In the midst of tragedy, Sherry Anne set out to write a lively story for each one of them, embracing their unique, and even hilarious, character traits, as well as their names. This was accomplished with her first two children's books: "How Are Ya, Arya?" and "Quiet Wyatt is a Riot!" Additionally, Sherry Anne produced a kids CD called, "Storytime with Sherry Anne" that includes narrations of both stories, upbeat songs and even a bedtime prayer. So, come along... listen in... and, let the fun begin! Quiet Wyatt is a riot but he's not too quiet! Join Wyatt and his most favorite cat on this hilarious adventure. Come have fun and see all the things Wyatt has done! Will Wyatt ever really be quiet?

Quiet Wyatt is a Riot!

Children's Books

Action & Adventure

BookBaby

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Books by Anne, Sherry