The Role of Independent Directors After Sarbanes-OxleyThis book is intended to provide independent directors and their advisors with an understanding of the primary legal and governance issues that have evolved in the corporate governance environment since the passage of the Sarbanes-Oxley Act in 2002. The text on the accompanying CD-ROM sourcebook offers hypertext linked footnotes to direct lawyers (or interested non-lawyers) to legal source material. |
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Page i
... DIRECTORS after Sarbanes - Oxley Bruce F. Dravis ABA Section of BUSINESS LAW Practical Resources for the Business Lawyer A Defending Liberty Pursuing Justice The materials contained herein represent the opinions of the authors.
... DIRECTORS after Sarbanes - Oxley Bruce F. Dravis ABA Section of BUSINESS LAW Practical Resources for the Business Lawyer A Defending Liberty Pursuing Justice The materials contained herein represent the opinions of the authors.
Page ii
Bruce F. Dravis. The materials contained herein represent the opinions of the authors and editors and should not be construed to be the action of either the American Bar Association or the Section of Business Law unless adopted pursuant ...
Bruce F. Dravis. The materials contained herein represent the opinions of the authors and editors and should not be construed to be the action of either the American Bar Association or the Section of Business Law unless adopted pursuant ...
Page vi
... Material Information 151 B. Key Rule 10b - 5 Trading Restrictions 154 III . Conducting Sales 158 A. Securities Trading Policy 158 B. Permitted Trading Using a Rule 10b5-1 Plan 160 C. Section 16 Reporting 162 D. Rule 144 163 E. Insider ...
... Material Information 151 B. Key Rule 10b - 5 Trading Restrictions 154 III . Conducting Sales 158 A. Securities Trading Policy 158 B. Permitted Trading Using a Rule 10b5-1 Plan 160 C. Section 16 Reporting 162 D. Rule 144 163 E. Insider ...
Page vii
Bruce F. Dravis. Table of Cited Material ( on CD- ROM ) Statutes Federal Internal Revenue Code Sec . 162 ( m ) Internal Revenue Code Sec . 422 Securities Act of 1933 ( as amended ) Sec . 8A Securities and Exchange Act of 1934 ( as ...
Bruce F. Dravis. Table of Cited Material ( on CD- ROM ) Statutes Federal Internal Revenue Code Sec . 162 ( m ) Internal Revenue Code Sec . 422 Securities Act of 1933 ( as amended ) Sec . 8A Securities and Exchange Act of 1934 ( as ...
Page x
... Material , and Enforcement Actions In re Cady , Roberts , 40 SEC 907 ( 1961 ) ( “ Cady ” ) In re Cooper Companies , SEC Release 34-35082 ( 1994 ) ( " Cooper " ) In re W.R. Grace , SEC Release 34-39156 ( 1997 ) ( " Grace " ) In the ...
... Material , and Enforcement Actions In re Cady , Roberts , 40 SEC 907 ( 1961 ) ( “ Cady ” ) In re Cooper Companies , SEC Release 34-35082 ( 1994 ) ( " Cooper " ) In re W.R. Grace , SEC Release 34-39156 ( 1997 ) ( " Grace " ) In the ...
Contents
State | 1 |
Issues for Independent Directors | 4 |
Cases | 6 |
Brincat 722 A 2d 5 9 Del 1998 | 9 |
Director Independence | 13 |
SEC Release 338180 January 24 2003 | 14 |
E Family Relationship | 19 |
AIG 2nd Cir 2006 | 24 |
Carlton Investments v TLC Beatrice 1997 Del | 94 |
The Shareholders Role in Governance | 99 |
Loft Inc 5 A 2d 503 510 Del 1939 | 101 |
Ernst Maug What is the Function of the Shareholder | 107 |
Harrahs Entmt Inc v JCC Holding Co 802 A | 110 |
Institutional Shareholder Services Analysis of Syman | 115 |
The Impact of Gatekeeper Regulation | 125 |
SEC Speech SEC Commissioner Harvey J Gold | 126 |
Fiduciary Duties Director Liability and | 27 |
Elster 160 A 2d 731 Del 1960 | 32 |
Household International Inc 490 A | 33 |
Bayless Manning The Business Judgment Rule | 36 |
Eisner In re Walt Disney Co Derivative | 39 |
Other Material | 46 |
Statutes | 47 |
Ronald E Berenbeim The Enron Ethics Breakdown | 55 |
Regulations SEC Forms and Stock Exchange Rules | 57 |
Committees | 61 |
SEC Release 3453677 File No PCAOB200601 | 68 |
SEC Release No 338655 2006 Compensation | 83 |
Rosen Resistances to Reforming Corporate Gover | 92 |
In re Cady Roberts 40 SEC 907 1961 Cady | 128 |
Smyth No 0411985 2005 U S App LEXIS | 136 |
SEC Release 338150 2002 First Part 205 | 142 |
In Re McKesson HBOC Securities Litigation March | 144 |
SEC Part 205 2 | 145 |
Securities Trading Obligations of Independent | 147 |
Texas Gulf Sulphur 258 F Supp 262 | 149 |
SEC Forms | 162 |
167 | |
169 | |
About the Author 173 | |
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Common terms and phrases
accounting actions adopted amended approval attorney audit committee auditor board of directors business judgment rule bylaw CalPERS code of ethics committee charter company's compensation committee compliance consider corporate governance Corporation Law Sec corporation's cumulative voting decisions Delaware General Corporation Derivative Litigation direc disclose disclosure disinterested directors duty of loyalty employees enforcement Enron ensure establish evaluate Exchange Act executive compensation fiduciary duty financial statements Form 8-K gatekeeper implementing independent directors individual insider institutional investors Institutional Shareholder issues Item majority vote standard material matters Mesa Petroleum Co NASDAQ Rule nominating committee NYSE and NASDAQ NYSE Rule obligations officer plans plurality voting poison pill porate proxy statement public company QLCC response SEC Regulation S-K SEC Release SEC Rule SEC Schedule 14A SEC's securities laws shareholder proposals shares significant SOX Section special litigation committee specific TIAA-CREF tion tors violation waiver whistleblower