On-Demand   On-Demand Web Programs

Drafting Securities Filings 2012

Released on: Oct. 12, 2012
Running Time: 13:03:46

Running Time Segment Title Faculty Format
[01:06:48] Overview of the Federal Securities Laws Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
N. Adele Hogan ~ Hogan Law Associates PLLC
On-Demand MP3 MP4
[00:45:15] Filings Under the '34 Act Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Keir D. Gumbs ~ Covington & Burling LLP
On-Demand MP3 MP4
[01:00:18] The Disclosure Cycle and Related Filings Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
On-Demand MP3 MP4
[01:01:30] Current Report on Form 8-K Janet L. Fisher ~ Cleary Gottlieb Steen & Hamilton LLP
On-Demand MP3 MP4
[01:12:15] MD&A and the Annual Report to Shareholders Jeffrey S. Hochman ~ Willkie Farr & Gallagher LLP
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Mark A. Borges ~ Principal, Compensia, Inc.
On-Demand MP3 MP4
[01:07:24] Proxy Statements Mark A. Borges ~ Principal, Compensia, Inc.
On-Demand MP3 MP4
[03:14:06] Deconstructing the Registration Statement; the Regulatory Process Vasiliki B. Tsaganos ~ Fried, Frank, Harris, Shriver & Jacobson LLP
Jay Ingram ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Gideon Schor ~ Wilson Sonsini Goodrich & Rosati, PC
On-Demand MP3 MP4
[01:14:28] Current Issues in Securities Practice Jeffrey D. Karpf ~ Cleary Gottlieb Steen & Hamilton LLP
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Mark A. Borges ~ Principal, Compensia, Inc.
Jay Ingram ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
N. Adele Hogan ~ Hogan Law Associates PLLC
William J. Chudd ~ Davis Polk & Wardwell LLP
On-Demand MP3 MP4
[00:59:18] Securities Filings in M&A Transactions William J. Chudd ~ Davis Polk & Wardwell LLP
On-Demand MP3 MP4
[01:00:50] Ethical Dilemmas in Preparation and Review of SEC Filings Maura Barry Grinalds ~ Skadden, Arps, Slate, Meagher & Flom LLP
On-Demand MP3 MP4

This workshop will analyze in detail the principal forms and certain drafting issues and techniques used in filings with the SEC under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Recent legislation, including the controversial Jumpstart Our Business Startups (“JOBS”) Act and recent and proposed rule changes affecting disclosure obligations will be addressed as part of the topics covered.

Lecture Topics  [Total time 13:03:46]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Introduction and Opening Remarks* [00:21:34]
    Steven V. Bernard
  • Overview of the Federal Securities Laws [01:06:48]
    Steven V. Bernard, N. Adele Hogan
  • Filings Under the '34 Act [00:45:15]
    Steven V. Bernard, Keir D. Gumbs
  • The Disclosure Cycle and Related Filings [01:00:18]
    Steven V. Bernard
  • Current Report on Form 8-K [01:01:30]
    Janet L. Fisher
  • MD&A and the Annual Report to Shareholders [01:12:15]
    Steven V. Bernard, Jeffrey S. Hochman, Mark A. Borges
  • Proxy Statements [01:07:24]
    Mark A. Borges
  • Deconstructing the Registration Statement; the Regulatory Process [03:14:06]
    Vasiliki B. Tsaganos, Gideon Schor, Jay Ingram
  • Current Issues in Securities Practice [01:14:28]
    Steven V. Bernard, Jeffrey D. Karpf, N. Adele Hogan, Mark A. Borges, William J. Chudd, Jay Ingram
  • Securities Filings in M&A Transactions [00:59:18]
    William J. Chudd
  • Ethical Dilemmas in Preparation and Review of SEC Filings [01:00:50]
    Maura Barry Grinalds

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Chapter 1: Approaching Securities Law, Practising Law Institute, Soderquist on the Securities Laws, 5th Edition
    Gary M. Brown
  • Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Soderquist on the Securities Laws, 5th Edition
    Gary M. Brown
  • Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Soderquist on the Securities Laws, 5th Edition
    Gary M. Brown
  • Selected Materials
    N. Adele Hogan
  • Registration Statements Under the Securities Exchange Act of 1934: Form 10 and Form 8-A
    Steven V. Bernard
  • Covington & Burling LLP, Advisory, Dodd-Frank Update: SEC Adopts Rules on Compensation Committee Independence and Compensation Advisers (June 25, 2012)
    Keir D. Gumbs
  • Covington & Burling LLP, Advisory, The JOBS Act: New Rules for Emerging Growth Companies, Private Placements and "Crowdfunding" (April 2, 2012)
    Keir D. Gumbs
  • Quarterly Reports on Form 10-Q
    Steven V. Bernard
  • Preparation of the Annual Report on Form 10-K
    Steven V. Bernard
  • Interim Reports on Form 8-K
    Steven V. Bernard
  • Summary Chart of 8-K Rules
    Jackie Liu
  • Securities Filings
    Brooks Stough
  • MD&A and the Annual Report to Shareholders
    James J. Junewicz
  • Proxy Statements
    Mark A. Borges
  • Compensia, Thoughtful Pay Alert, "Say on Pay" at the Bay Area 150--A First Look at Year Two (July 6, 2012)
    Mark A. Borges
  • Compensia, Thoughtful Pay Alert, Newly-Public Companies and the ISS "Pay for Performance" Analysis (June 29, 2012)
    Mark A. Borges
  • Compensia, Thoughtful Pay Alert, ISS Issues 2012 Policy Updates (November 30, 2011)
    Mark A. Borges
  • Understanding the Securities Act of 1933
    Vasiliki B. Tsaganos
  • Registration on Form S-1
    Vasiliki B. Tsaganos
  • Risk Factors Disclosure and the Private Securities Litigation Reform Act
    Steven V. Bernard
  • Trading Activities in Connection with Distributions: Regulation M
    Steven V. Bernard
  • Fried Frank, To Our Clients and Friends Memorandum, Market Practice Evolves Under the Jumpstart Our Business Startups Act (May 15, 2012)
    Vasiliki B. Tsaganos
  • Fried Frank, To Our Clients and Friends Memorandum, The Enactment of the Jumpstart Our Business Startups Act: Simplifying the IPO Process While Transitioning to Full Public Company Status (April 3, 2012)
    Vasiliki B. Tsaganos
  • Effects of the "JOBS" Act on '33 Act and '34 Act Filings
    Gary M. Brown
  • Securities Filings in M&A Transactions
    William J. Chudd
  • Securities Filings and Disclosure Matters in M&A Transactions
    Michael S. Dorf
  • Effect of Federal Securities Laws on Acquisition Structures
    Libby Kitslaar
  • Ethical Dilemmas in Preparation and Review of SEC Filings
    Laura M. Holm
  • Reg. S-K: The Backbone of 1933 Act and 1934 Act Filings (PowerPoint Slides)
    N. Adele Hogan
  • MD&A and the Annual Report to Shareholders (PowerPoint Slides)
    Jeffrey S. Hochman
  • PLI--Drafting Securities Filings 2012 (PowerPoint Slides)
    Jackie Liu
  • Annual Report to Shareholders and Financial Disclosure in Annual Report and Form 10-K (PowerPoint Slides)
    Brooks Stough
  • A Litigator's Perspective on Disclosing Risks (PowerPoint Slides)
    William F. Alderman
  • Overview of the Federal Securities Laws (PowerPoint Slides)
    Gary M. Brown
  • Current Report on Form 8-K (PowerPoint Slides)
    Keir D. Gumbs
  • Index to Drafting Securities Filings 2012
Presentation Material
  • Introduction and Opening Remarks
    Steven V. Bernard
  • Reg. S-K: The Backbone of 1933 Act and 1934 Act Filings
    N. Adele Hogan
  • '34 Act Public Reporting "Triggers"
    Steven V. Bernard
  • Preparing Section 16 Filings
    Keir D. Gumbs
  • The Quarterly Disclosure Cycle
    Steven V. Bernard
  • Preparation of the Form 10-K
    Steven V. Bernard
  • Current Report on Form 8-K
    Janet L. Fisher
  • MD&A and the Annual Report to Shareholders
    Steven V. Bernard
  • MD&A and the Annual Report to Shareholders
    Jeffrey S. Hochman
  • Proxy Statements
    Mark A. Borges
  • Risk Disclosure and Liability Issues
    Gideon Schor
  • Drafting Registration Statements
    Vasiliki B. Tsaganos
  • Compliance with Federal Securities Laws in the Acquisition Context
    William J. Chudd
  • Appearing and Practicing Before the SEC: Ethical Considerations
    Maura Barry Grinalds
Chairperson(s)
Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Speaker(s)
Mark A. Borges ~ Principal, Compensia, Inc.
William J. Chudd ~ Davis Polk & Wardwell LLP
Janet L. Fisher ~ Cleary Gottlieb Steen & Hamilton LLP
Maura Barry Grinalds ~ Skadden, Arps, Slate, Meagher & Flom LLP
Keir D. Gumbs ~ Covington & Burling LLP
Jeffrey S. Hochman ~ Willkie Farr & Gallagher LLP
N. Adele Hogan ~ Hogan Law Associates PLLC
Jay Ingram ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey D. Karpf ~ Cleary Gottlieb Steen & Hamilton LLP
Gideon Schor ~ Wilson Sonsini Goodrich & Rosati, PC
Vasiliki B. Tsaganos ~ Fried, Frank, Harris, Shriver & Jacobson LLP

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