Securities Resources

The work examines the recent changes affected by the Sarbanes-Oxley Act, and details the rules, interpretations, and no-action letters on insider reporting under Section 16(a). The complex Section 16(b) short-swing trading prohibition is discussed and analyzed.

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.
Westlaw (ID and password required)

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.
Westlaw (ID and password required)