Securities Resources

This book explains the perils for lawyers in the wake of the Sarbanes-Oxley Act of 2002 and provides expert advice on the steps that can be taken to minimize them. Coverage includes: practical measures to prevent liability; "up-the-ladder" reporting; client identification; primary and secondary liability; conflicts of interest; and whistleblower complaints. It also provides guidance on in-house counsel's role within the boardroom, when to write letters to clients and memos to the file, and other steps that can avert disaster.

Contains detailed discussion of the extensive SEC rulemaking that filled in the statutory framework, as well as a discussion of the statutes. It also looks at the legislative history, as well as subsequent SEC staff interpretations. In addition, it examines court decisions interpreting various provisions of the Sarbanes-Oxley Act .

Offers a comprehensive analysis of the Sarbanes-Oxley Act and the rules and regulations that have followed its enactment. From Enron and the legislative history to civil and criminal penalties, this title provides a detailed discussion of SOA and its impact. It provides coverage of reporting, corporate governance, professional responsibility of attorneys, public accountants, regulation of analysts, SEC enforcement, and private actions.