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Initial Public Offerings & the Securities Act of 1933

The Securities Act of 1933, enacted in response to the stock market crash of 1929, has been referred to as the "truth in securities" law. The Securities Act generally requires that companies selling their stock to the public must provide...

Responsibilities of Corporate Directors and Officers

Boards of directors and officers of corporations have distinct functions. Generally, directors set corporate policy while officers carry out that policy.

Corporate Director Responsibilities

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Electronic Shareholder Meetings

As the operations of corporations become more global and as their shareholders become dispersed throughout the world, new mechanisms may be needed to maintain shareholder participation at annual meetings. Effective July 1,...

Exchange-Traded Funds

Exchange-traded funds are open-ended registered investment companies regulated by the Securities and Exchange Commission under the Investment Company Act of 1940. The Securities and Exchange Commission has exempted exchange-traded funds from...

Sarbanes-Oxley Act of 2002

In response to a deluge of corporate scandals in the late 1990s and early 2000s, the Sarbanes-Oxley Act of 2002 (Act) implemented sweeping reforms in the area of corporate governance. The Act applies only to public...