transcript   Transcript

Liability for Corporate Executives and Officers

Recorded on: Jul. 23, 2018
Running Time: 01:00:43

Full Transcript:

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Taken from the Web Program Understanding the Securities Laws 2018 Recorded July 2018 in New York

Liability for Corporate Executives and Officers [01:00:43]
  • Section 16 reporting and liability – “short-swing” profit rules
    • Implications of delinquent filings
  • Sarbanes-Oxley and Dodd-Frank “clawback” provisions—where do things stand today?
  • Insider trading
  • Minimizing liability risk using 10b5-1 plans
  • Litigation and SEC enforcement actions

Bradley J. Bondi, Jennifer L. Nadborny

(CFE Field of Study: Fraud)

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Dangerous Liaisons: Collective Scienter in SEC Enforcement Actions, 6 N.Y.U. J. L. & Bus.1 (Fall 2009)
    Bradley J. Bondi
  • Bradley J. Bondi and Steven D. Lofchie, The Law of Insider Trading: Legal Theories, Common Defenses, and Best Practices for Ensuring Compliance, 8 N.Y.U. J. L. & Bus.151 (Fall 2011)
    Bradley J. Bondi
  • Cahill Gordon & Reindel LLP, SEC Proposes Broad Clawback Rules for Executive Compensation (July 10, 2015)
    Bradley J. Bondi
  • Cahill Gordon & Reindel LLP, SEC Settles with CEO for Failure to Disclose Executive Perks to Shareholders (June 2, 2017)
    Bradley J. Bondi
  • “Section 16 Insiders—Reporting and Liability”—Overview of Section 16 of the Exchange Act
    Jennifer L. Nadborny
  • Section 16, Clawbacks and Other Disgorgement Under the Federal Securities Laws (May 2, 2018)
    Lori B. Metrock
Presentation Material
  • Liability for Corporate Executives and Officers
    Bradley J. Bondi, Jennifer L. Nadborny
  • (s)
    Bradley J Bondi ~ Cahill Gordon & Reindel LLP
    Jennifer L. Nadborny ~ Simpson Thacher & Bartlett LLP
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