| Table of Contents |
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| Chapter 1: Overview of the Federal Securities Laws (PowerPoint Slides) |
Gary M. Brown ~ CMG Life Services
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| Chapter 2: SEC Staff Issues Conflict Minerals FAQs (May 31, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 3: Stock Act Opens Up New Front for Insider Trading Cases (May 16, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 4: SEC Endorses Social Media as Public Disclosure Channel (April 3, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 5: Greenlight Capital v. Apple and Its Potential Impact on the 2013 Proxy Season (March 4, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 6: Something to Watch this Proxy Season: Next Generation Executive Compensation Lawsuits (February 12, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 7: Conflict Mineral Rules: Frequently Asked Questions (January 3, 2013) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 8: SEC Adopts Resource Extraction Payment Rules (August 29, 2012) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 9: Dodd-Frank Update: SEC Adopts Rules on Compensation Committee Independence and Compensation Advisers (June 25, 2012; Updated July 13, 2012) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 10: Guidelines for Protecting and Enhancing Online Shareholder Participation in Annual Meetings (June 2012) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 11: The JOBS Act: New Rules for Emerging Growth Companies, Private Placements and “Crowdfunding” (April 2, 2012) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 12: SEC Guidance on Disclosure Related to Cybersecurity (October 17, 2011) |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 13: Rule 10b5-1 Trading Plans: Avoiding the Heat |
Keir Gumbs ~ Covington & Burling LLP
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| Chapter 14: Registration Statements Under the Securities Exchange Act of 1934: Form 10 and Form 8-A (July 30, 2013) |
Alan K. Austin ~ Wilson Sonsini Goodrich & Rosati, PC
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
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| Chapter 15: Interim Reports on Form 8-K (July 30, 2013) |
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
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| Chapter 16: Quarterly Reports on Form 10-Q (August 1, 2013) |
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
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| Chapter 17: Securities Filings 2013: Practical Guidance in a Changing Environment Filings Under the ’34 Act (PowerPoint Slides) |
Keir D. Gumbs ~ Covington & Burling LLP
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| Chapter 18: Summary Chart of 8-K Rules |
Jackie Liu ~ Morrison & Foerster LLP
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| Chapter 19: PLI—Drafting Securities Filings 2013 (PowerPoint Slides) |
Jackie Liu ~ Morrison & Foerster LLP
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| Chapter 20: Annual Report to Shareholders and Financial Disclosure in Annual Report and Form 10-K (PowerPoint Slides) |
Brooks Stough ~ Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP
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| Chapter 21: Preparation of the Annual Report on Form 10-K (July 31, 2013) |
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
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| Chapter 22: Proxy Statements |
Mark A. Borges ~ Compensia
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| Chapter 23: A Litigator’s Perspective on Disclosing Risks (PowerPoint Slides) |
Bill Alderman ~ Orrick, Herrington & Sutcliffe LLP
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| Chapter 24: Deconstructing the Registration Statement and Regulatory Process (PowerPoint Slides) |
Michael Nordtvedt ~ Wilson Sonsini Goodrich & Rosati
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| Chapter 25: Effects of the “JOBS” Act on ’33 Act and ’34 Act Filings |
Gary M. Brown ~ CMG Life Services Inc.
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| Chapter 26: Securities Filings in M&A Transactions |
William J. Chudd ~ Davis Polk & Wardwell LLP
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| Chapter 27: Effect of Federal Securities Laws on Acquisition Structures (July 2, 2013) |
Elizabeth C. Kitslaar ~ Jones Day
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| Chapter 28: Securities Filings |
Brooks Stough ~ Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP
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| Chapter 29: Two Step Tender Offer and Back-End Merger— Sample Timeline and Checklist of Action Items and Filings (July 2, 2013) |
Elizabeth Kitslaar ~ Jones Day
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| Chapter 30: Legends to be Included on All Written Communications in Business Combination Transactions |
Michael S. Dorf ~ Shearman & Sterling LLP
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| Chapter 31: Securities Filings and Disclosure Matters in M&A Transactions |
Michael S. Dorf ~ Shearman & Sterling LLP
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| Chapter 32: Ethical Dilemmas in Preparation and Review of SEC Filings |
Laura M. Holm ~ Akerman Senterfitt
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| Chapter 33: Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel |
Charles F. Walker ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Index |
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