On-Demand   On-Demand Web Programs

Securities Filings 2013: Practical Guidance in a Changing Environment

Released on: Oct. 11, 2013
Running Time: 12:58:06

Running Time Segment Title Faculty Format
[01:02:42] 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
[00:59:46] Filings Under the '34 Act Keir D. Gumbs ~ Covington & Burling LLP
On-Demand MP3 MP4
[01:01:35] The Disclosure Cycle and Related Filings Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
On-Demand MP3 MP4
[01:00:54] Current Report on Form 8-K Janet L. Fisher ~ Cleary Gottlieb Steen & Hamilton LLP
On-Demand MP3 MP4
[01:12:52] MD&A and the Annual Report to Shareholders Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Laura L. Delanoy ~ Willkie Farr & Gallagher LLP
On-Demand MP3 MP4
[01:03:48] Proxy Statements Mark A. Borges ~ Principal, Compensia, Inc.
On-Demand MP3 MP4
[03:13:30] Deconstructing the Registration Statement; the Regulatory Process Gregg L. Weiner ~ Fried, Frank, Harris, Shriver & Jacobson LLP
Michael Nordtvedt ~ Wilson Sonsini Goodrich & Rosati, PC
Dietrich A. King ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:13:56] Current Issues in Securities Practice Steven V. Bernard ~ Wilson Sonsini Goodrich & Rosati, PC
Michael Nordtvedt ~ Wilson Sonsini Goodrich & Rosati, PC
N. Adele Hogan ~ Hogan Law Associates PLLC
William J. Chudd ~ Davis Polk & Wardwell LLP
On-Demand MP3 MP4
[00:59:53] Securities Filings in M&A Transactions William J. Chudd ~ Davis Polk & Wardwell LLP
On-Demand MP3 MP4
[01:00:37] Ethical Dilemmas in Preparation and Review of SEC Filings Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
On-Demand MP3 MP4

This popular program will analyze in detail the principal forms used for 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. Each segment of the program will incorporate practical drafting and disclosure tips. Ethics credit and recent legislation and SEC rule changes affecting disclosure obligations, in particular those resulting from the JOBS Act, will be woven within the topics covered.

Lecture Topics 
[Total time 012:58:06]

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

  • Introduction and Opening Remarks* [00:08:33]
    Steven V. Bernard
  • Overview of the Federal Securities Laws [01:02:42]
    Steven V. Bernard, N. Adele Hogan
  • Filings Under the '34 Act [00:59:46]
    Keir D. Gumbs
  • The Disclosure Cycle and Related Filings [01:01:35]
    Steven V. Bernard
  • Current Report on Form 8-K [01:00:54]
    Janet L. Fisher
  • MD&A and the Annual Report to Shareholders [01:12:52]
    Steven V. Bernard, Laura L. Delanoy
  • Proxy Statements [01:03:48]
    Mark A. Borges
  • Deconstructing the Registration Statement; the Regulatory Process [03:13:30]
    Dietrich A. King, Michael Nordtvedt, Gregg L. Weiner
  • Current Issues in Securities Practice [01:13:56]
    Steven V. Bernard, N. Adele Hogan, William J. Chudd, Michael Nordtvedt
  • Securities Filings in M&A Transactions [00:59:53]
    William J. Chudd
  • Ethical Dilemmas in Preparation and Review of SEC Filings [01:00:37]
    Charles F Walker

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

  • Overview of the Federal Securities Laws (PowerPoint Slides)
    Gary M. Brown
  • SEC Staff Issues Conflict Minerals FAQs (May 31, 2013)
    Keir D. Gumbs
  • Stock Act Opens Up New Front for Insider Trading Cases (May 16, 2013)
    Keir D. Gumbs
  • SEC Endorses Social Media as Public Disclosure Channel (April 3, 2013)
    Keir D. Gumbs
  • Greenlight Capital v. Apple and Its Potential Impact on the 2013 Proxy Season (March 4, 2013)
    Keir D. Gumbs
  • Something to Watch this Proxy Season: Next Generation Executive Compensation Lawsuits (February 12, 2013)
    Keir D. Gumbs
  • Conflict Mineral Rules: Frequently Asked Questions (January 3, 2013)
    Keir D. Gumbs
  • SEC Adopts Resource Extraction Payment Rules (August 29, 2012)
    Keir D. Gumbs
  • Dodd-Frank Update: SEC Adopts Rules on Compensation Committee Independence and Compensation Advisers (June 25, 2012; Updated July 13, 2012)
    Keir D. Gumbs
  • Guidelines for Protecting and Enhancing Online Shareholder Participation in Annual Meetings (June 2012)
    Keir D. Gumbs
  • The JOBS Act: New Rules for Emerging Growth Companies, Private Placements and “Crowdfunding” (April 2, 2012)
    Keir D. Gumbs
  • SEC Guidance on Disclosure Related to Cybersecurity (October 17, 2011)
    Keir D. Gumbs
  • Rule 10b5-1 Trading Plans: Avoiding the Heat
    Keir D. Gumbs
  • Registration Statements Under the Securities Exchange Act of 1934: Form 10 and Form 8-A (July 30, 2013)
    Alan K. Austin, Steven V. Bernard
  • Interim Reports on Form 8-K (July 30, 2013)
    Steven V. Bernard
  • Quarterly Reports on Form 10-Q (August 1, 2013)
    Steven V. Bernard
  • Securities Filings 2013: Practical Guidance in a Changing Environment Filings Under the ’34 Act (PowerPoint Slides)
    Keir D. Gumbs
  • Summary Chart of 8-K Rules
    Jackie Liu
  • PLI—Drafting Securities Filings 2013 (PowerPoint Slides)
    Jackie Liu
  • Annual Report to Shareholders and Financial Disclosure in Annual Report and Form 10-K (PowerPoint Slides)
    Brooks Stough
  • Preparation of the Annual Report on Form 10-K (July 31, 2013)
    Steven V. Bernard
  • Proxy Statements
    Mark A. Borges
  • A Litigator’s Perspective on Disclosing Risks (PowerPoint Slides)
    William F. Alderman
  • Deconstructing the Registration Statement and Regulatory Process (PowerPoint Slides)
    Michael Nordtvedt
  • Effects of the “JOBS” Act on ’33 Act and ’34 Act Filings
    Gary M. Brown
  • Securities Filings in M&A Transactions
    William J. Chudd
  • Effect of Federal Securities Laws on Acquisition Structures (July 2, 2013)
    Elizabeth Clough Kitslaar
  • Securities Filings
    Brooks Stough
  • Two Step Tender Offer and Back-End Merger— Sample Timeline and Checklist of Action Items and Filings (July 2, 2013)
    Elizabeth Clough Kitslaar
  • Legends to be Included on All Written Communications in Business Combination Transactions
    Michael S. Dorf
  • Securities Filings and Disclosure Matters in M&A Transactions
    Michael S. Dorf
  • Ethical Dilemmas in Preparation and Review of SEC Filings
    Laura M. Holm
  • Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel
    Charles F Walker

Presentation Material

  • 09-26-13_0900_Bernard
    Steven V. Bernard
  • 09-26-13_1015_Grumbs
    Keir D. Gumbs
  • 09-26-13_1130_Bernard 1
    Steven V. Bernard
  • 09-26-13_1130_Bernard 2
    Steven V. Bernard
  • 09-26-13_1330_Fisher
    Janet L. Fisher
  • 09-26-13_1430_Bernard
    Steven V. Bernard
  • 09-26-13_1445_Delanoy
    Laura L. Delanoy
  • 09-26-13_1600_Borges
    Mark A. Borges
  • 09-27-13_0900_Nordtvedt
    Michael Nordtvedt
  • 09-27-13_0900_Weiner
    Gregg L. Weiner
  • 09-27-13_1500_Chudd
    William J. Chudd
  • 09-27-13_1600_Walker
    Charles F Walker
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
Laura L. Delanoy ~ Willkie Farr & Gallagher LLP
Janet L. Fisher ~ Cleary Gottlieb Steen & Hamilton LLP
Keir D. Gumbs ~ Covington & Burling LLP
N. Adele Hogan ~ Hogan Law Associates PLLC
Dietrich A. King ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michael Nordtvedt ~ Wilson Sonsini Goodrich & Rosati, PC
Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
Gregg L. Weiner ~ Fried, Frank, Harris, Shriver & Jacobson LLP

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On-Demand Web Programs and Segments are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

Minnesota 
approves live webcasts ONLY

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.


Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
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