Business Law Monographs, Volume S1--Avoiding Insider Trading Liability

Assists in identifying and avoiding potential insider trading problems. Discusses the potential for liability for various individuals: issuers and their insiders, securities firms, banks, and attorneys.

Business Law Monographs, Avoiding Insider Trading Liability, is intended to assist persons in identifying potential insider trading problems and to suggest how those problems may be avoided. It is directed, in particular, to:

(1) corporate issuers and their insiders, including officers, directors and employees
(2) securities firms and individual securities professionals,
(3) multi-service banks and their employees, and
(4) the lawyers who advise them.

Chapter 1 contains an overview of the insider trading problem. Chapter 1A discusses the Insider Trading and Securities Fraud Enforcement Act of 1988. Chapter 2 briefly describes the sources of the law regulating insider trading. Chapter 3 addresses the basic theories of liability for insider trading. Chapters 4, 5 and 6 consider respectively the liability of tippers and tippees, liability in connection with tender offers, and liability under Section 16(b) of the Securities Exchange Act for “short-swing” profits.

The remaining chapters contain practical advice on avoiding insider trading problems. Chapter 7 is directed to issuers and their insiders; chapter 8, to securities firms; chapter 9, to banks; and chapter 10, to lawyers. Issues related to insider trading litigation are discussed in chapter 11.

Authored by practitioners with years of experience, you can rely on the authoritative analysis of the “need-to-know” issues by experts in avoiding insider trading liability.

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