Securities practice portfolio series ; 284. 2372-1529
"... describes the potential legal liability these "gatekeepers" can face by participating, directly or indirectly, in disclosures concerning securities. Professionals can be subject to civil, criminal, or regulatory liability under a daunting array of federal laws and regulations. A finding of liability could result in staggering penalties or awards of damages. Adverse outcomes are frequently career ending events for professionals."
Bibliography, etc. Note
Includes bibliographical references.
Formatted Contents Note
Detailed analysis. Introduction Primary liability under Securities Act [section] 11 Liability under Securities Act [section] 12(a)(2) Liability under Section 17 of the Securities Act of 1933 Primary liability under [section] 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 Primary liability under [section] 18 of the Securities Exchange Act of 1934 Secondary liability under the federal securities laws Rule 102(e).
Digital File Characteristics
Source of Description
Description based on contents viewed on May 25, 2015; title from portfolio description screen.