Securities Law Claims: A Practical Guide

Anyone with financial responsibility for a company needs to understand his or her liability, how to protect against wrongdoing, and how to proceed when implicated. Companies are required to file accurate information reports and obey regulations designed to protect the public. In recent years, failure to comply with securities regulations has destroyed several prominent companies and implicated their executives. Securities Law Claims provides a complete and current examination of legal matters in the securities market from the perspective of an issuing company.

This clearly written, issue-spotting guide combines a foundation for understanding securities law concepts with enough detail to begin an action plan at any stage from securities issue to prosecution. It is a must-read for any executive, board member, or trustee.

Covered in this volume:



· Shareholder derivative actions


· SEC enforcement


· Increased responsibility of Boards of Directors under Caremark and Sarbanes-Oxley


· State Securities and Blue Sky Laws


· Managing company communications before and during litigation, including a discussion of privilege.