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The Disclosure Cycle and Related Filings

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Recorded on: Sep. 9, 2014

GARY M. BROWN: OK. Ladies and gentlemen, we'll go ahead and get to get started on our final session here before the lunch hour to talk about the disclosure cycle and related filings. I always love having [INAUDIBLE] around. You heard him describe himself as sort of a securities nerd. So it's always good to be with the other securities nerds. We all just get excited about this. So if you're working in a public company and even if you don't have continuous ...

MD&A and the Annual Report to Shareholders

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Recorded on: Sep. 9, 2014

GARY BROWN: Julie and Jeff, take it away. Appreciate you being here. JEFFREY HOCHMAN: Just be clear, I'm Jeff. She's Julie. I don't know if the signs are lined up. GARY BROWN: Here's the-- JULIE LINDSAY: Can you hand me that clipboard? GARY BROWN: Yeah. JULIE LINDSAY: Do you just-- is this on? Is it on now? GARY BROWN: The big, green button advances it. JULIE LINDSAY: And the other one backs it-- OK, good. All right, thank you. Now we're ready. ...

Current Report on Form 8-K

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Recorded on: Sep. 9, 2014

GARY BROWN: Ladies and gentlemen, welcome back after lunch, and welcome back to those on the web as well. Joining us now from Wilmer Hale is Lily Brown, who joined Wilmer after a long career with the SEC, where she can provide us some insights on a number of topics. But she's here to speak to us today about the current reform, or current report, on Form 8-K. So Lily, the floor is yours. Thank you for being with us. LILY BROWN: Thank you, Gary, ...

Ethical Dilemmas in Preparation and Review of SEC Filings

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Recorded on: Sep. 9, 2014

GARY: OK, ladies and gentlemen, we've got Chuck Walker from Skadden Arps where he's a partner in Securities Enforcement and Compliance practice, and having previously done stints, I believe, as the Delaware Commissioner of Securities and Special Counsel to the SEC. So Chuck, talk to us about ethical practices in securities filings. Is there such a thing? CHARLES WALKER: Thanks, Gary. Well, there's a lot to be worried about. That's for sure. And tell ...

Current Issues in Securities Practice

Transcripts  Transcripts    

Recorded on: Sep. 9, 2014

GARY M. BROWN: Thanks so much, Willis. I do have sort of a multi-part question here we'll get to here in a few moments. But I think I said we're going to launch this program. We've got the other three panelists with me. Adele Hogan, back from yesterday. Stuart Gelfond, who we've just listened to. And Mark Borges, also from yesterday. And so what I'm going to invite each of them to do, starting with Adele, is for each of them to indicate one of the ...

Proxy Statements

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Recorded on: Sep. 9, 2014

GARY M BROWN: OK. All right, ladies and gentleman. We're back after the break at 4 o'clock. I'm going to turn you over to Mark Borges who is a principal at Compensia. Proud of that. He had a good career in the Office of Rulemaking at the SEC. And Mark and I met at a former company, longer ago than I care to remember. But he's an absolute expert in this area. And you'll learn a lot from his presentation today. And we're fortunate to have him. So Mark, ...

Homeowner Associations and Governance Concerns

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Recorded on: Aug. 25, 2014

CANG LE: Good morning. As mentioned so graciously by [INAUDIBLE], my name is Cang Le, and I'm with the firm Adams Kessler. And we are a law firm that specializes in homeowners association-- that is, all our clients are. 100% of our clientele is HOAs, and that also includes commercial associations as well, which we won't cover today, but some of the same sort of issues that may arise in a residential association also arise in commercial associations. And ...

Homeowner Associations and Foreclosure

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Recorded on: Aug. 25, 2014

M. BROWN: But for this next section, Noah Zinner and Gina Di Giusto are going to go ahead and shift focus a little bit into homeowner associations and foreclosures and the interplay between debt collection laws and HOA responsibilities. And with that, please take it away. GINA DI GUISTO: I don't have my screen up in front of me, so if I'm glancing over, it's just because I don't have my screen here. M. BROWN: But the one that's up there on the far ...

SEC Adopts Money Market Fund Reform Rules 2014 (Audio-only)

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Recorded on: Aug. 25, 2014

AMY: It is now my pleasure to turn this briefing over to Jay Baris. JAY G. BARIS: Thank you, Amy. This is Jay Baris, a partner at Morrison & Foerster here in New York. And welcome to the Money Market Fund webinar. In a nutshell what we'll be talking about today is, to boil it all down into three questions is, what did the SEC do? Who did they do it to? And number three, will it work? And to help you understand those questions or to work through ...

HOAs, Fair Housing and Debt Collection

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Recorded on: Aug. 25, 2014

MAEVE ELISE BROWN: Thank you to the panelists for two excellent hours. We're going to have our third excellent hour now addressing fair housing law and homeowner associations. Let me turn it back over to Gina and to Noah Zinner. NOAH ZINNER: OK. Thank you. This isn't intended to be a full examination of fair housing law. That would take many days and should be done by somebody much more knowledgeable than myself, but it is going to be a survey of ...

Navigating the Waters: Parallel Government Investigations and Securities Litigation 2014 (Audio-only)

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Recorded on: Aug. 21, 2014

AMY: It is now my pleasure to turn this briefing over to Michael Farhang. MICHAEL M. FARHANG: Thank you very much, Amy. I'm happy to be able to address the group on the topic of the interplay between government investigations and civil securities litigation. As most of you know, corporations in many cases may have a substantial interest in cooperating with regulators conducting investigations, especially the Department of Justice and the Securities ...

Big Data Across the Atlantic - U.S. and E.U. Perspectives 2014 (Audio-only)

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Recorded on: Aug. 19, 2014

AMY TAUB: Hello, my name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Big Data Across the Atlantic, US and EU Perspectives. Before we begin, I have some administrative announcements. Briefing will be one hour in length. Time will not allow for questions, but the speakers would welcome questions following the presentation. Their contact information can be found at the end of the slide deck. Please ...

Youth Justice & Juvenile Record Sealing

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Recorded on: Aug. 18, 2014

ROXANNE DOMINGUEZ-SHELL: As we are setting up, just to let you all know after this panel there will be a 15-minute break. Our next panel will be on Youth Justice and Juvenile Record Sealing. We have two panelists with us today. The first panelist is Rachel Johnson-Farias. Rachel is an equal justice works fellow at the East Bay Community Law Center, EBCLC. Her commitment to social justice inspired her to create a project that extends EBCLC adult reentry ...

Accessing Opportunities for Work - Expungement & Employment Laws

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Recorded on: Aug. 18, 2014

FEMALE SPEAKER: And with that being said, we can move into the first panel of the day, which is Accessing Opportunities for Work-- Expungement and Employment Laws. And I'll begin the panel by introducing our panelists. First we have Eliza Hersh from the East Bay Community Law Center, where she directs the Clean Slate Practice. EBCLC is the East Bay's largest provider of free legal services and a teaching clinic of Berkeley Law School. The Clean Slate ...

Making Ends Meet - Reentry & Economic Stability

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Recorded on: Aug. 18, 2014

ROXANNE DOMINGUEZ-SHELL: Thank you. Our last panel for the day is Making Ends Meet-- Reentry and Economic Stability. We have three panelists with us. The first panelist is Donte Blue. Donte is the Contra Costa County reentry coordinator where he develops and supports opportunities for collaboration among the county's various reentry stakeholders within public, private, and nonprofit sectors. He began his legal career with the Lawyers' Committee for ...

SEC v. Obus: Insider Trading and Taking the SEC to Trial 2014 (Audio-only)

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Recorded on: Aug. 12, 2014

AMY TAUB: Hello, my name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, SEC versus Obus, insider trading, and taking the SEC to trial. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the Course Materials tab ...

Foundational Principles

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Recorded on: Aug. 11, 2014

JANET SIEGEL: And now it's my pleasure to turn the program over to our program chair. Kevin Sheridan is a corporate partner at Bingham McCutchen here in New York City where he chairs the corporate practice group. He's also a longtime speaker on PLI drafting corporate agreements programs. And as I already mentioned, you can get details about all of our faculty this afternoon both on the iPads and in the course materials. It's now my pleasure to turn ...

The Elements of Style

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Recorded on: Aug. 11, 2014

L. KEVIN SHERIDAN, JR: --start the second session. We had a couple questions come over the web during the break that Jeff's going to address. And then we'll spend an hour or so going through some of the next segment outlines. And then we'll save 10 or 15 minutes at the end, because I do want us to hear some of the points and have a discussion about some boilerplate that could be really important in contract disputes and contract drafting. So Jeff, ...

Successful Mediation - Practical Tips From a Mediator's Perspective 2014 (Audio-only)

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Recorded on: Aug. 7, 2014

SPEAKER 1: It is now my pleasure to turn this briefing over to Judge Robert Holzberg. ROBERT HOLTSBURG: Thank you very much, Amy, and thanks to all of you who have taken time from what I'm sure are your very busy schedules to participate in today's briefing. It's an honor for me to be here today to chat with you about mediation. I know it's a subject that doesn't necessarily register number 10 on the excitement scale, so with that in mind I'm reminded ...

Jury Selection

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Recorded on: Aug. 4, 2014

ARTURO J. GONZALEZ: OK, we're going to go ahead and start our next panel. Our next panel is on one of my favorite subjects. One of the funnest parts of a trial, very important part of a trial is jury selection. I'll give people just another few seconds to come in. And if I look a little rattled it's because I'm a big Oakland A's fan and I just learned they just traded my favorite player to Boston. I'm just stunned. But hopefully it works out, hopefully ...

Article 78 Special Proceedings

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Recorded on: Aug. 4, 2014

TANYA WONG: We're ready to resume. We're in the home stretch. We're going to continue on the procedural appeal rights for public assistance recipients. And I am delighted to welcome my colleague at legal services, Miss Sienna Fontaine from our legal services NYC Bronx office. She's going to be talking to you about what can be done post-fair hearing-- after your administrative fair hearing. You've exhausted your administrative remedies, what can you ...

Preparing Your Case for Trial, Including Motions in Limine/Deposition Designations

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Recorded on: Aug. 4, 2014

ARTURO J. GONZALEZ: So having said that, our first panel is going to discuss things that you ought to think about in preparing a case for trial. My colleagues are Brendan Glackin, who does primarily plaintiff's work, maybe exclusively plaintiffs work. BRENDAN P. GLACKIN: Yeah, these days. ARTURO J. GONZALEZ: OK. Exclusively plaintiffs work. A lot of his experience is in the antitrust arena. He's had some fabulous experience. He's a very, in my view, ...

Fair Hearings

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Recorded on: Aug. 4, 2014

DON FRIEDMAN: Welcome back, hope you had a good lunch. The afternoon is going to be a little more procedural. We talked about a few substantive areas this morning for the special populations and now we're going to talk about process. Two main processes and two made main avenues for representing clients in these and other areas of regarding benefits. And the first one will be about fair hearings. For the vast majority of people who deal with the food ...

Direct Examination; Trial Objections

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Recorded on: Aug. 4, 2014

ARTURO J. GONZALEZ: So I'm going to introduce the chair of the second panel, who will then introduce the other panelists. Robert Peterson is a partner at Carlson, Calladine, & Peterson. He's been trying cases for more than 30 years. He is a member of ABOTA, a colleague of mine in ABOTA in San Francisco, a very difficult organization to be in. You've got to have 20 civil jury trials for consideration. Rob has been doing this for a long time, plaintiff ...

Opening Statements and Closing Arguments

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Recorded on: Aug. 4, 2014

ARTURO J. GONZALEZ: We're going to go ahead and start our next panel to try to keep us as close to being on schedule as possible. This is one of my favorite panels, both because of the presenters and the substance. It's such an important part of trials, opening statements and closing arguments. I'm going to introduce the moderator of the panel, to my right. Cynthia McGuinn has been practicing law for a long time. I told you last year I'm still not ...

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group