| 44th Annual Securities Regulation Institute TOC, Vols. I & II |
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| Chapter 1: The JOBS Act: An Overview of its Impact on the Securities Offering Process |
John C. Coffee, Jr. ~ Adolf A. Berle Professor of Law, Columbia University Law School
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| Chapter 2: The Jumpstart Our Business Startups Act Reforms the Securities Offering Framework |
Abigail Arms ~ Shearman & Sterling LLP
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| Chapter 3: The Jumpstart Our Business Startups Act of 2012 |
David M. Lynn ~ Morrison & Foerster LLP
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| Chapter 4: Jumpstart Our Business Startups ("JOBS") Act--An Overview |
David B. Harms ~ Sullivan & Cromwell LLP
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| Chapter 5: What Disclosures Does the JOBS Act Require in IPO Prospectuses? |
Keith F. Higgins ~ Ropes & Gray LLP
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| Chapter 6: Initial Public Offerings, Forecasts and Selective Disclosure |
Keith F. Higgins ~ Ropes & Gray LLP
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| Chapter 7: Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions on Title I of the JOBS Act May 3, 2012 (Questions 18-41) April 16, 2012 (Questions 1-17) |
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| Chapter 8: Jumpstart Our Business Startups Act Frequently Asked Questions: Changes to the Requirements for Exchange Act Registration and Deregistration April 11, 2012 |
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| Chapter 9: Jumpstart Our Business Startups Act Frequently Asked Questions: Confidential Submission Process for Emerging Growth Companies April 10, 2012 |
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| Chapter 10: SEC Press Release 2012-170: SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings, August 29, 2012 |
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| Chapter 11: SEC Press Release 2012-163: SEC Adopts Rule for Disclosing Use of Conflict Minerals, August 22, 2012 |
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| Chapter 12: SEC Press Release 2012-164: SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers, August 22, 2012 |
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
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| Chapter 13: Skadden Memorandum: CFTC Takes Steps to Implement the Clearing Regime for Swaps and Finalizes the Exception from Clearing for Commercial End-Users, August 15, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 14: Skadden Executive Compensation and Benefits Alert: Two-Thirds of the Way Through the 2012 Proxy Season--Lessons Learned, June 21, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 15: Skadden Executive Compensation and Benefits Alert: Important Section 409A Relief Expires at Year-End, September 10, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 16: Skadden Memorandum: SEC Adopts Conflict Minerals Rules, September 5, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 17: Skadden Memorandum: SEC Adopts Rules Requiring Disclosure of Payments by 'Resource Extraction Issuers', September 5, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 18: Skadden Securities Regulation and Compliance Alert: SEC Adopts Rules Requiring New Listing Standards for Compensation Committees, June 22, 2012 |
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 19: SEC Guidance on Use of Corporate Websites--Where are We Four Years Later? |
P.J. Himelfarb ~ Weil, Gotschal & Manges LLP
Catherine T. Dixon ~ Weil, Gotshal & Manges LLP
Keir D. Gumbs ~ Covington & Burling LLP
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| Chapter 20: Covington & Burling LLP Advisory--Securities: SEC Adopts Conflict Minerals Rules, August 24, 2012 |
Keir D. Gumbs ~ Covington & Burling LLP
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| Chapter 21: Covington & Burling LLP Advisory--Securities: SEC Adopts Resource Extraction Payment Rules, August 29, 2012 |
Keir D. Gumbs ~ Covington & Burling LLP
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| Chapter 22: Political Spending Shareholder Activism in 2012 and Beyond |
Keir D. Gumbs ~ Covington & Burling LLP
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| Chapter 23: 2012 Glass Lewis Policy Updates, July 20, 2012 |
Daniel J. Ryterband ~ President, Frederic W. Cook & Co., Inc.
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| Chapter 24: SEC Finalizes Rules for Compensation Committee and Adviser Independence (Few Changes from Rules Proposed in April 2011), June 27, 2012 |
Daniel J. Ryterband ~ President, Frederic W. Cook & Co., Inc.
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| Chapter 25: Proxy Advisor Say on Pay Assessment Process and Vote Outcome |
Daniel J. Ryterband ~ President, Frederic W. Cook & Co., Inc.
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| Chapter 26: Katrice Bridges Copeland, In-House Counsel Beware!, 39 Fordham URB. L.J. 391 (2011) |
Brackett B. Denniston, III ~ Senior Vice President, General Counsel, General Electric Company
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| Chapter 27: Donald C. Langevoort, Getting (Too) Comfortable: In-House Lawyers, Enterprise Risk, And The Financial Crisis, Wis. L. Rev. 495 (2012) |
Brackett B. Denniston, III ~ Senior Vice President, General Counsel, General Electric Company
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| Chapter 28: U.S. v. Stevens, Criminal Action: RWT-10-694 (D. MD. May 10, 2011) |
Brackett B. Denniston, III ~ Senior Vice President, General Counsel, General Electric Company
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| Chapter 29: American Express Company Corporate Governance Principles (As Amended and Restated as of February 23, 2012) |
Louise M. Parent ~ Executive Vice President and General Counsel, American Express Company
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| Chapter 30: Weil, Gotshal & Manges LLP Memorandum, March 2012 |
Kim KW Rucker ~ Executive Vice President, Corporate & Legal Affairs, General Counsel and Corporate Secretary, Kraft Foods Group
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| Chapter 31: Weil, Gotshal & Manges LLP Securities Enforcement & Litigation Alert: SEC Speaks 2012: An "Entrepreneurial" and Restructured SEC Pledges Proactive Enforcement |
Kim KW Rucker ~ Executive Vice President, Corporate & Legal Affairs, General Counsel and Corporate Secretary, Kraft Foods Group
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| Chapter 32: General Counsel Buffeted by Compliance Demands and Client Pressures May Face Personal Peril |
Hon. E. Norman Veasey ~ Former Chief Justice of the Delaware Supreme Court, Weil, Gotshal & Manges LLP
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| Chapter 33: Corporate Governance & Private Securities Litigation |
Ralph C. Ferrara ~ Proskauer Rose LLP
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| Chapter 34: Selected Recent Developments in U.S. Securities Laws and Corporate Finance, as of August 24, 2012 |
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Bradford P Weirick ~ Gibson Dunn & Crutcher LLP
Stephen I. Glover ~ Partner, Gibson, Dunn & Crutcher LLP
Brian J Lane ~ Gibson Dunn & Crutcher LLP
Ronald O. Mueller ~ Gibson, Dunn & Crutcher LLP
Scott J Calfas ~ Gibson Dunn & Crutcher LLP
James J. Moloney ~ Gibson, Dunn & Crutcher LLP
Paul J Collins ~ Gibson Dunn & Crutcher LLP
Jonathan C. Dickey ~ Managing Editor, Securities Litigaiton: A Practitioner's Guide (PLI), Gibson, Dunn & Crutcher LLP
Amy L. Goodman ~ Gibson, Dunn & Crutcher LLP
Gillian McPhee ~
Elizabeth A. Ising ~ Partner, Gibson, Dunn & Crutcher LLP
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| Chapter 35: U.S. v. Stevens, 771 F. Supp. 556 (D. MD. March 23, 2011) |
John F. Olson ~ Gibson, Dunn & Crutcher LLP
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| Chapter 36: U.S. vs. Stevens, Criminal Action: RWT-10-694 (D. MD. May 10, 2011), See Chapter 28 |
John F. Olson ~ Gibson, Dunn & Crutcher LLP
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| Chapter 37: Speech by SEC Staff: Remarks to Criminal Law Group of the UJA--Federation of New York, by Robert S. Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, New York City, June 1, 2011 |
John F. Olson ~ Gibson, Dunn & Crutcher LLP
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| Chapter 38: Surviving a Restatement, Insights: The Corporate & Securities Law Advisor Volume 26, Number 4, April 2012 |
John J. Huber ~ F T I Consulting
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
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| Chapter 39: TIAA-CREF Policy Statement on Corporate Governance |
Stephen L. Brown ~ Senior Director of Corporate Governance & Associate General Counsel, TIAA-CREF
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| Chapter 40: Takeover and Activist Response Checklist and Dealing with Activist Hedge Funds |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 41: Takeover Law and Practice |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 42: Corporate Governance Update: Advice For the Board in CEO Selection and Succession Planning |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 43: Corporate Governance Update: Analyzing Aspects of Board Composition |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 44: Corporate Governance Update: ISS Policy Updates for 2012 Proxy Season |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 45: Corporate Governance Update: Section 13(d) Reporting Requirements Need Updating |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 46: Corporate Governance Update: 'Say on Pay' in the 2012 Proxy Season |
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 47: Board Oversight of Routine Shareholder Engagement |
David B. H. Martin ~ Covington & Burling LLP
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| Chapter 48: Public Company Accounting Oversight Board Auditing Standard No. 16--Communications with Audit Committees; Related Standards; and Transitional Amendments to AU Sec. 380, PCAOB Release No. 2012-004, August 15, 2012 |
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
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| Chapter 49: Report on the Progress of the Interim Inspection Program Related to Audits of Brokers and Dealers, PCAOB Release No. 2012-005, August 20, 2012 |
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
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| Chapter 50: Information for Audit Committees About the PCAOB Inspection Process, PCAOB Release No. 2012-003, August 1, 2012 |
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
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| Chapter 51: PCAOB Proposed Auditing Standard--Related Parties, Proposed Amendments to Certain PCAOB Auditing Standards Regarding Significant Unusual Transactions and Other Proposed Amendments to PCAOB Auditing Standards, PCAOB Release No. 2012-001, February 28, 2012 |
John W. White ~ Cravath, Swaine & Moore LLP
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| Chapter 52: Still No Decision, SEC Issues Final Report on Incorporation of IFRSs, Deloitte Heads Up, July 19, 2012, Volume 19, Issue 15 |
Joseph B. Ucuzoglu ~ National Managing Partner, Regulatory and Public Policy, Deloitte LLP
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| Chapter 53: Information for Audit Committees About the PCAOB Inspection Process, Deloitte Heads Up, August 30, 2012, Volume 19, Issue 20 |
Joseph B. Ucuzoglu ~ National Managing Partner, Regulatory and Public Policy, Deloitte LLP
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| Chapter 54: Work Plan for the Consideration of Incorporating International Financial Reporting Standards Into the Financial Reporting System for U.S. Issuers, Final Staff Report, July 13, 2012, Office of the Chief Accountant, United States SEC |
John W. White ~ Cravath, Swaine & Moore LLP
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| Chapter 55: Outline of Recent SEC Enforcement Actions Recent Highlights Through July 31, 2011 |
Robert S Khuzami ~ Former Director, Division of Enforcement, U.S. Securities and Exchange Commission
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| Chapter 56: Recent Developments in the SEC Cooperation Initiative |
Dixie L. Johnson ~ Fried, Frank, Harris, Shriver & Jacobson LLP
Carmen J. Lawrence ~ Fried, Frank, Harris, Shriver & Jacobson LLP
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| Chapter 57: Recent Developments in SEC Enforcement and Internal Investigations |
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
Erich T. Schwartz ~ Skadden, Arps, Slate, Meagher & Flom LLP
Louis D Greenstein ~ Skadden Arps Slate Meagher & Flom LLP
Andrew Lawrence ~
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| Chapter 58: Juggling Criminal, Civil and Multinational Investigations |
Bruce E. Yannett ~ Debevoise & Plimpton LLP
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| Chapter 59: Whistleblower Hypothetical |
Robert H. Mundheim ~ Shearman & Sterling LLP
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| Chapter 60: U.S. v. Quest Diagnostics Inc., 2011 WL 1330542 (S.D.N.Y. Apr. 5, 2011) |
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
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| Chapter 61: Public Statement by SEC Official: Letter Regarding Washington State Bar Association's Proposed Opinion on the Effect of the SEC's Attorney Conduct Rules, by Giovanni P. Prezioso, General Counsel, U.S. Securities and Exchange Commission, July 23, 2003 |
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
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| Chapter 62: The Supreme Court Will Address Whether Plaintiffs Must Establish Materiality to Obtain Class Certification Under the Fraud-on-the-Market Theory |
Bruce D. Angiolillo ~ Simpson Thacher & Bartlett LLP
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| Chapter 63: A Review of Decisions Applying the Supreme Court's Ruling in Janus Capital Group, Inc. v. First Derivative Traders |
Bruce D. Angiolillo ~ Simpson Thacher & Bartlett LLP
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| Chapter 64: Widener Law, the Institute of Delaware Corporate & Business Law, On-Line Symposium: Default Fiduciary Duties in LLCs and LPs |
Lawrence A. Hamermesh ~ Ruby R. Vale Professor of Corporate and Business Law, Institute of Delaware Corporate and Business Law, Widener University School of Law
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| Chapter 65: Arbitration in the Delaware Court of Chancery, Insights: The Corporate & Securities Law Advisor, Volume 25, Number 7, July 2011 |
Gregory V. Varallo ~ Richards, Layton & Finger, P.A.
Gregory P. Williams ~ Richards, Layton & Finger, P.A.
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| Chapter 66: Delaware Coalition for Open Government v. Strine, Civil Action No. 1:11-1015 (D. Del. Aug. 30, 2012) |
Gregory V. Varallo ~ Richards, Layton & Finger, P.A.
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| Chapter 67: Some Thoughts for Board of Directors in 2012 |
Martin Lipton ~ Wachtell, Lipton, Rosen & Katz
Steven A. Rosenblum ~ Wachtell, Lipton, Rosen & Katz
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| Chapter 68: Social Issues in Selected Recent Mergers and Acquisitions Transactions 2004-2012 Supplement |
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
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| Chapter 69: Selected Legal Issues Relating to the Selection and Implementation of Differing Forms of Consideration in M&A Transactions |
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
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| Chapter 70: The Four Ring Circus--Round Sixteen; A Further Updated View of the Mating Dance Among Announced Merger Partners and An Unsolicited Second or Third Bidder |
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
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| Chapter 71: Simpson Thacher Memorandum: Delaware Chancery Court Reaffirms Poison Pill and "Just Say No" Defense in Airgas Takeover Battle |
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
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| Chapter 72: Simpson Thacher Memorandum: Delaware Chancery Court Addresses Revlon Applicability in Cash/Stock Transactions |
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
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| Chapter 73: Indices to 44th Annual Securities Regulation Institute, Vols. I & II |
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