On-Demand   On-Demand Web Programs

Securities Regulation Institute (45th Annual)

Released on: Nov. 22, 2013
Running Time: 19:39:38

Running Time Segment Title Faculty Format
[01:47:19] How's Life in the Capital Markets? Stanley Keller ~ Edwards Wildman Palmer LLP
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Abigail Arms ~ Retired Partner, Shearman & Sterling LLP
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Thomas W Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Martin P. Dunn ~ Morrison & Foerster LLP
On-Demand MP3 MP4
[01:00:31] What's New in Rulemaking? Craig M Lewis ~ Chief Economist and Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
David B. Harms ~ Sullivan & Cromwell LLP
Hon. Elisse B Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Felicia H Kung ~ Chief, Office of Rulemaking, Division of Corporation Finance, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:29:18] Social Media - Not Just Tweeting and Liking, But Understanding What's Allowed and What Securities Lawyers Need to Know Mike Johnson ~ Director & Associate General Counsel - Corporate/Securities/M&A, Facebook
Nicole M Maddrey ~ Vice President, Deputy General Counsel and Assistant Secretary, The Washington Post Company
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Catherine T Dixon ~ Weil, Gotshal & Manges LLP
On-Demand MP3 MP4
[01:14:59] Facing Your Corporate Governance Challenges: Navigating Activism and Engagement Gary Retelny ~ President, ISS Inc. and Managing Director, MSCI Inc., MSCI Inc.
John W. White ~ Cravath, Swaine & Moore LLP
Stephen L. Brown ~ CEO & President, Society of Corporate Secretaries & Governance Professionals
Jennifer M Daniels ~ Senior Vice President, General Counsel and Corporate Secretary, NCR Corporation
Catherine R. Kinney ~ Director: Metlife Inc.; MSCI, Inc.; NetSuite Inc.; QTS Realty Trust Inc.; Catholic Charities (Chair),
On-Demand MP3 MP4
[01:32:46] The General Counsel's Perspective: Living in the Real World Bradley E Lerman ~ Executive Vice President, General Counsel, and Corporate Secretary, Federal National Mortgage Association
Louise M Parent ~ Executive Vice President and General Counsel, American Express Company
Richard H. Walker ~ General Counsel, Member of the Group Executive Committee, Deutsche Bank AG
Christopher B Walther ~ Chief Legal Officer, Activision Blizzard, Inc.
On-Demand MP3 MP4
[01:29:55] Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers Jan R. Hauser ~ Vice President, Controller and Chief Accounting Officer, General Electric Company
Daniel L Goelzer ~ Baker & McKenzie LLP
James H Quigley ~ Chief Executive Officer Emeritus / Retired Senior Partner, Deloitte,
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
Linda L. Griggs ~ Morgan, Lewis & Bockius LLP
Paul A Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:16:24] The Latest Developments with Investment Companies, Private Funds and Investment Advisors Andrew J Donohue ~ Managing Director, Goldman Sachs Asset Management LP
Paul N Roth ~ Schulte Roth & Zabel LLP
Jay G Baris ~ Morrison & Foerster LLP
Alison M Fuller ~ Stradley Ronon Stevens & Young LLP
Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:29:53] Tackling Disclosure and Compensation Requirements Robin A Ferracone ~ Chief Executive Officer, Farient Advisors LLC
Ann L Yerger ~ Executive Director, Council of Institutional Investors
Karen J. Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Christopher A Butner ~ Assistant Secretary & Managing Counsel, Securities/Corporate Governance, Chevron Corporation
Keir D. Gumbs ~ Covington & Burling LLP
On-Demand MP3 MP4
[00:59:06] Government Enforcement: The Top Cops' Programs and Priorities David Meister ~ Former Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Carmen J. Lawrence ~ King & Spalding LLP
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Preet Bharara ~ United States Attorney, United States Attorney's Office, Southern District of New York
On-Demand MP3 MP4
[01:12:21] The Defense Perspective: Strategies and Considerations in Responding to New Policies and Priorities in Securities Enforcement Andrew J. Levander ~ Dechert LLP
Bruce E. Yannett ~ Debevoise & Plimpton LLP
Robert S Khuzami ~ Kirkland & Ellis LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Herbert F Janick ~ Sidley Austin LLP
On-Demand MP3 MP4
[01:30:00] Private Securities Litigation Ralph C. Ferrara ~ Proskauer Rose LLP
Max W Berger ~ Bernstein Litowitz Berger & Grossmann
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Charles S Duggan ~ Davis Polk & Wardwell
Mary E Reisert ~ Managing Director, Citigroup Global Markets Inc.
D. Scott Tucker ~ Global Head of Litigation, Morgan Stanley
On-Demand MP3 MP4
[01:31:10] Developments in Mergers and Acquisitions Eileen T. Nugent ~ Skadden, Arps, Slate, Meagher & Flom LLP
Faiza J Saeed ~ Cravath, Swaine & Moore LLP
Mark J. Gentile ~ Richards, Layton & Finger, P.A.
Steven A Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Joseph A Stern ~ Managing Director, Goldman Sachs & Co
On-Demand MP3 MP4
[01:00:12] Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? John F. Olson ~ Gibson, Dunn & Crutcher LLP
Giovanni P Prezioso ~ Cleary Gottlieb Steen & Hamilton LLP
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Dixie L. Johnson ~ King & Spalding
Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission
On-Demand MP3 MP4

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue to see significant changes in the securities laws field - as a result of continued implementation of the Dodd-Frank Act, and other developments in capital formation, including changes to the IPO and private placement process brought about the JOBS Act, and continued aggressive enforcement efforts - the Institute will provide you with an important look at the current issues and provide you with the information you need today.

We have structured the Institute panels to offer you the most comprehensive and practice-oriented sessions possible, focusing on the most pressing issues of the day in the most critical areas.  Our goal is to assist you in making sense out of the current business and legal climate and regulatory restructuring and to provide best
practices that you can use in the service of your clients or company.

At the conclusion of each panel you will receive a list of practical take-away points that you can bring back to the office and use in guiding your clients in these challenging times.

As always, the Institute’s stellar faculty, comprised of the very best from private practice, investment banking, accounting firms, corporations, and government oversight agencies, will put the developments of the past year into proper perspective and prepare you for 2014 and beyond.  Each panel will share their unique insights and experiences with you and offer practical strategies and solutions in the form of best practices, which will help you perform successfully in today’s continually evolving financial environment.

We have no doubt that the 45th Annual Institute on Securities Regulation will be the most important and comprehensive securities conference this year.  We are pleased to provide you with the best and most current content and strategies for making your practice everything it can be in the service of your clients.

Lecture Topics 
[Total time 019:39:38]

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

  • Opening Remarks* [00:05:57]
    Alan L. Beller, David M. Lynn, Colleen P. Mahoney
  • Keynote Address- Day 1* [00:31:58]
    Hon. Mary Jo White
  • How's Life in the Capital Markets? [01:47:19]
    Martin P. Dunn, Stanley Keller, Deanna L. Kirkpatrick, Thomas W. Yang, Keith F. Higgins, Abigail Arms
  • What's New in Rulemaking? [01:00:31]
    Hon. Elisse B. Walter, David B. Harms, Keith F. Higgins, Craig M. Lewis, Felicia Kung
  • Social Media -- Not Just Tweeting and Liking, But Understanding What's Allowed and What Securities Lawyers Need to Know [01:29:18]
    Meredith B. Cross, Steven E. Bochner, Catherine T. Dixon, Mike Johnson, Nicole M. Maddrey
  • Facing Your Corporate Governance Challenges: Navigating Activism and Engagement [01:14:59]
    Stephen L. Brown, John W. White, Gary Retelny, Jennifer M. Daniels, Catherine R. Kinney
  • Keynote Address- Day 2* [00:27:04]
    Brackett B. Denniston, III
  • The General Counsel's Perspective: Living in the Real World [01:32:46]
    Richard H. Walker, Bradley E. Lerman, Louise M. Parent, Christopher B. Walther
  • Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers [01:29:55]
    Linda L. Griggs, Paul A. Beswick, Daniel L. Goelzer, Jan R. Hauser, James H. Quigley, James R. Doty
  • Q&A Picnic Lunch with the SEC's Division of Corporation Finance* [01:00:46]
    Karen J. Garnett, Keith F. Higgins, Shelley E. Parratt
  • The Latest Developments with Investment Companies, Private Funds and Investment Advisors [01:16:24]
    Jay G. Baris, Alison M. Fuller, Paul N. Roth, Norm Champ, Andrew J. Donohue
  • Tackling Disclosure and Compensation Requirements [01:29:53]
    Brian V. Breheny, Christopher A. Butner, Keir D. Gumbs, Ann L. Yerger, Robin A. Ferracone, Karen J. Garnett
  • Government Enforcement: The Top Cops' Programs and Priorities [00:59:06]
    Carmen J. Lawrence, Preet Bharara, Andrew J. Ceresney, David Meister
  • The Defense Perspective: Strategies and Considerations in Responding to New Policies and Priorities in Securities Enforcement [01:12:21]
    Robert S Khuzami, Herbert F. Janick, III, Linda Chatman Thomsen, Bruce E. Yannett, Andrew J. Levander
  • Private Securities Litigation [01:30:00]
    D. Scott Tucker, Ralph C. Ferrara, Jonathan K. Youngwood, Charles S. Duggan, Max W. Berger, Mary Reisert
  • Developments in Mergers and Acquisitions [01:31:10]
    Eileen T. Nugent, Mark J. Gentile, Steven A. Rosenblum, Faiza J. Saeed, Joseph A. Stern
  • Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? [01:00:12]
    Giovanni P. Prezioso, Dixie L. Johnson, John F. Olson, Richard M. Humes, William R. McLucas

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

  • Integration of Private and Public Offerings Update
    Stanley Keller
  • Edwards Wildman Client Advisory: SEC Adopts Rules on General Solicitation that Fundamentally Change Private Capital Raising and Proposes Further Revisions, July 2013
    Stanley Keller
  • General Solicitation: What Congress Giveth, the SEC Proposes to Taketh Away
    Stanley Keller
  • Alternatives to Registration Chart
    Stanley Keller
  • SEC Press Release: SEC Approves JOBS Act Requirement to Lift General Solicitation Ban, July 10, 2013
  • SEC Fact Sheet: Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings, SEC Open Meeting, July 10, 2013
  • SEC Fact Sheet: Proposing Amendments to Private Offering Rules, SEC Open Meeting, July 10, 2013
  • SEC Fact Sheet: Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings, SEC Open Meeting, July 10, 2013
  • SEC FAQs on Conflict Minerals, May 30, 2013
  • Section 13(r) CDIs—Exchange Act CDIs 147.01 Through 147.07
    Keith F. Higgins
  • Social Media and Regulation FD
    Jennifer A. Zepralka, Meredith B. Cross
  • Social Media and Regulation FD in a Post-Netflix World
    Catherine T. Dixon
  • SEC Declines Enforcement Action in Netflix REG FD Matter and Issues Social Media Guidance
    Steven E. Bochner
  • CalSTRS Corporate Governance 2013 Annual Report, Spring, 2013
    John W. White
  • Viewpoints for the Audit Committee Leadership Summit, Board-Shareholder Engagement, Issue 21: 2 May 2013
    John W. White
  • Equilar Outlook on 2013 Say on Pay Responses
    John W. White
  • Semler Brossy, 2013 Say on Pay Results, Russell 3000, July 31, 2013
    John W. White
  • The Conference Board, Proxy Voting Fact Sheet, July 2013
    John W. White
  • United States House of Representatives, Committee on Financial Services, Subcommittee on Capital Markets, June 5, 2013 Hearing on “Examining the Market Power and Impact of Proxy Advisory Firms”
    John W. White
  • TIAA-CREF Policy Statement on Corporate Governance, 6th Edition
    Stephen L. Brown
  • 2013 Proxy Season Review, United States
    Gary Retelny
  • Prepared Remarks of U.S. Attorney Preet Bharara, Citizens Crime Commission, The Cyber Threat: Are Government and Industry ‘Outgunned’?, April 16, 2012
    Richard H. Walker
  • Kaye Scholer White Collar/FCPA Alert: SEC and DOJ Reward Ralph Lauren for Self-Reporting FCPA Violations, April 23, 2013
    Richard H. Walker
  • Sidley Austin LLP FCPA Update: The Top Ten Take-Aways from the DOJ and SEC Resource Guide to the U. S. Foreign Corrupt Practices Act, November 30, 2012
    Richard H. Walker
  • Sidley Austin LLP FCPA Update: DOJ & SEC Release Long Anticipated FCPA Guide, November 15, 2012
    Richard H. Walker
  • Gibson Dunn 2012 Year-End FCPA Update, January 2, 2013
    Richard H. Walker
  • Managing a Corporate Crisis: The Ten Commandments of Crisis Management
    John F. Savarese, Richard H. Walker
  • Pearl Meyer & Partners, Trends and Issues, Say on Pay Game Plan: A Best Practice Processfor Overcoming a Negative Vote
    Richard H. Walker
  • Sullivan & Cromwell LLP Memorandum, Say-on-Pay—Review of 2012 Proxy Season Results, July 17, 2012
    Richard H. Walker
  • Memorandum from Majority Staff, Committee on Commerce, Science, and Transportation, to Senator Rockefeller, Chairman of the Committee on Commerce, Science, and Transportation, Re: Summary of the Feedback on Cybersecurity from “Fortune 500” Companies
    Bradley E. Lerman
  • U.S. Cybersecurity’s Path from Legislative Debate to Executive Action, Corporate Counsel, August 9, 2012
    Bradley E. Lerman
  • Debevoise & Plimpton LLP FCPA Update, the FCPA in 2012: Release of the Government’s Guidance Caps a Year of Disparate Developments, January 2013, Vol. 4, No. 6
    Louise M. Parent
  • Debevoise & Plimpton LLP FCPA Update, Spotlight on Latin America: Overview, March 2013, Vol. 4, No. 8
    Louise M. Parent
  • Debevoise & Plimpton LLP FCPA Update, Spotlight on Southeast Asia, June 2013, Vol. 4, No. 11
    Louise M. Parent
  • Debevoise & Plimpton LLP FCPA Update, the Total S.A. Action: Are Administrative Orders the SEC’s FCPA Resolution of Choice for the Future?, July 2013, Vol. 4, No. 12
    Louise M. Parent
  • Sullivan & Cromwell LLP Memorandum, Adjusting to Shareholder Activism, August 22, 2013
    Gloria Santona
  • The Evolving Responsibilities of Audit Committees, August 2013
    Linda L. Griggs
  • The SEC’s Renewed Interest in Accounting Cases—A New Beginning, or a Victim of Fait? September 2013
    John J. Huber, Linda L. Griggs
  • Current FASB Projects that May Affect Lawyers, August 2013
    Linda L. Griggs
  • PCAOB Release No. 2013-005, August 13, 2013, Proposed Auditing Standards
    James R. Doty
  • Second Report on the Progress of the Interim Inspection Program Related to Audits of Brokers and Dealers, PCAOB Release No. 2013-006, August 19, 2013
    James R. Doty
  • Aileen Beattie Memorial Address on the Role of the Audit in the Global Economy, Institute of Chartered Accountants of Scotland Stationers’ Hall, Ave Maria Lane, London, England, by James R. Doty, Chairman, Public Accounting Oversight Board, April 18, 2013
    James R. Doty
  • PCAOB Initiatives Affecting the Work of the Audit Committee
    Daniel L. Goelzer
  • Measuring Audit Quality, Remarks by Daniel L. Goelzer at the American Bar Association Business Law Section 2013 Spring Meeting, April 4, 2013
    Daniel L. Goelzer
  • Audit Committee Agenda: Discussion of the Auditor’s PCAOB Inspection Report
    Daniel L. Goelzer, Laura R. Shields
  • Morrison & Foerster Client Alert: CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies That Are Commodity Pools, August 14, 2013
    Jay G. Baris
  • Morrison & Foerster Client Alert: Insider Trading in Mutual Funds: Do Traditional Theories Apply?, August 8, 2013
    Daniel A. Nathan, Jay G. Baris
  • Morrison & Foerster Client Alert: Goldilocks, Porridge and General Solicitation, July 10, 2013
    Anna T. Pinedo, David M. Lynn, Jay G. Baris
  • 49. Structured Products: Investment Company Act and Investment Advisers Act Considerations, the Review of Securities & Commodities Regulation, Vol. 46, No. 7, April 3, 2013
    Anna T. Pinedo, Jay G. Baris
  • Morrison & Foerster Socially Aware: Private Funds on Social Media—Proceed with Caution, July 15, 2013
    Jay G. Baris
  • Schulte Roth & Zabel Alert: The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers, July 24, 2013
    Brian T. Daly, Marc E. Elovitz, Paul N. Roth
  • Stradley Ronon Fund Alert, Money Market Fund Reform: SEC Proposes Fundamental Reform and Other Significant Rule Amendments, July 2013
    Alison M. Fuller
  • Skadden Memorandum: CFTC Issues Final Guidance and Accompanying Exemptive Order on Cross-Border Application of Certain Swap Regulations, July 31, 2013
    Brian V. Breheny
  • Skadden Securities Regulation and Compliance Alert: SEC Resources Extraction Issuer Disclosure Rules Vacated, July 3, 2013
    Brian V. Breheny
  • Skadden Executive Compensation and Benefits Alert: Skadden’s Proxy Watch: Latest 2013 Say-On-Pay Trends and a Proxy Litigation Update, July 23, 2013
    Brian V. Breheny
  • Skadden Securities Regulation and Compliance Alert: SEC Staff Issues Conflict Minerals & Resource Extraction Payments Disclosure Guidance, June 3, 2013
    Brian V. Breheny
  • Skadden Securities Regulation and Compliance Alert: Getting Back to Basics with Rule 10b5-1 Trading Plans, April 9, 2013
    Brian V. Breheny
  • Skadden Corporate Finance Alert: Tweet This! SEC Addresses Application of Regulation FD to Social Media, April 3, 2013
    Brian V. Breheny
  • Skadden Securities Regulation and Compliance Alert: Guidance on New Iran-Related Disclosure Requirements, February 7, 2013
    Brian V. Breheny
  • Recommendations of the Investor Advisory Committee Regarding SEC Rulemaking to Explore Universal Proxy Ballots (Adopted July 25, 2013)
    Brian V. Breheny
  • Recommendations of the Investor Advisory Committee Regarding SEC and the Need for the Cost Effective Retrieval of Information by Investors (Adopted July 25, 2013)
    Brian V. Breheny
  • Committee on Disclosure of Corporate Political Spending Petition for Rulemaking, August 3, 2011
    Brian V. Breheny
  • Request for Rulemaking Concerning Amending Rule 10b5-1, December 28, 2012
    Brian V. Breheny
  • Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934, February 1, 2013
    Brian V. Breheny
  • Shareholder Demands for Corporate Political Disclosure
    Keir D. Gumbs
  • Covington Advisory/Securities: D.C. District Court Upholds SEC’s Conflict Minerals Rule, July 24, 2013
    Keir D. Gumbs
  • Covington Advisory/Securities: D.C. District Court Vacates SEC’s Resource Extraction Payment Rule, July 3, 2013
    Keir D. Gumbs
  • Covington Advisory/Securities: Required Communications Between Auditors and Audit Committees, January 29, 2013
    Keir D. Gumbs
  • Covington Advisory/Securities: SEC Staff Issues Conflict Minerals FAQs, May 31, 2013
    Keir D. Gumbs
  • Covington E-Alert/Election and Political Law, Securities Law—STOCK Act Opens Up New Front for Insider Trading Cases, May 16, 2013
    Keir D. Gumbs
  • Covington E-Alert: Securities—SEC Endorses Social Media as Public Disclosure Channel, April 3, 2013
    Keir D. Gumbs
  • Rule 10b5-1 Trading Plans: Avoiding the Heat, Securities Regulation & Law Report, 45 SRLR 438, 3/11/2013
    David B. H. Martin, David L. Kornblau, Keir D. Gumbs
  • Pay Definitions: What Works Best in Pay for Performance Analysis, November 2012
    David L. Kornblau, Robin A. Ferracone
  • Performance Metrics and Their Link to Value, Summary Report, January 2013
    Robin A. Ferracone
  • Achieving Positive Outcomes, NACD Directorship September/October 2012
    Robin A. Ferracone
  • The Continuing Validity of the Mosaic Theory as a Viable Defense to Insider Trading, August 30, 2013
    Carmen J. Lawrence
  • Outline of Selected SEC Enforcement Actions, May 2013
    Robert S. Khuzami
  • SEC Press Release: SEC Announces Whistleblower Action, June 12, 2013
    Robert S. Khuzami
  • SEC v. Falcone Et. Al., 12 CIV. 5027 and 5028 (PAC) ECF Case, (S.D.N.Y), Final Consent Judgment
    Robert S. Khuzami
  • David Woodcock and Margaret McGuire, SEC Financial Reporting and Audit Task Force, the Trusted Professional, August 21, 2013
    Robert S. Khuzami
  • SEC Press Release: SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis, July 2, 2013
    Robert S. Khuzami
  • Morrison & Foerster Client Alert: Inside Baseball—SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em, June 19, 2013
    Robert S. Khuzami
  • Defending Against the Government
    Herbert F. Janick, III
  • Juggling Criminal, Civil and Multinational Investigations
    Bruce E. Yannett
  • Articles Prepared for the Spring 2013 Edition of Bernstein Litowitz Berger & Grossman’s Newsletter, the Advocate for Institutional Investors
    Max W. Berger
  • “Known Trends and Uncertainties”: Disclosure Obligations in Management’s Discussion and Analysis Under Item 303 of Regulation S-K
    Charles S. Duggan
  • The Impact of Recent Supreme Court Decisions on Rule 23(b)(3)’s Predominance Requirement
    Jonathan K. Youngwood
  • Current Thoughts About Activism
    Martin Lipton, Steven A. Rosenblum
  • Mergers and Acquisitions—2013
    Adam O. Emmerich, Andrew R Brownstein, Mark Gordon, Steven A. Rosenblum
  • Recent Decisions of Delaware Courts
    Mark J. Gentile
  • Not Your Father’s Ethics Environment—Is There Increased Scrutiny of Lawyers? What Is the Truth and What Are the Consequences?
    Giovanni P. Prezioso
  • Update on the SEC’s Lawyer Disciplinary Program
    Dixie L. Johnson
  • Frequency of 102(e) Cases (By Six-Month Period)
    Dixie L. Johnson
  • Zealous Advocacy and Offending the SEC: The SEC’s Lawyer Discipline Program, Insights, the Corporate & Securities Law Advisor, Volume 26, Number 10, October 2012
    Dixie L. Johnson
  • Ethical Dilemmas for Disclosure Lawyers: Summary of Selected SEC Cases Involving Disclosure Lawyers
    John F. Olson
  • Summary of Recent SEC Actions and Private Suits Against Lawyers for Involvement in Capital Raises
    John F. Olson
  • Supplement of Selected Cases Against Lawyers for Involvement in Capital Raises
    John F. Olson
  • Selected Recent Developments in U.S. Securities Laws and Corporate Finance
    Amy L. Goodman, Brian J Lane, Elizabeth A. Ising, Gillian McPhee, James J. Moloney, John F. Olson, Jonathan C. Dickey, Michael J. Scanlon, Paul J Collins, Peter W. Wardle, Ronald O. Mueller, Stephen I. Glover

Presentation Material

  • 45th Annual Institute on Securities Regulation
    Alan L. Beller, David M. Lynn, Colleen P. Mahoney
  • Keynote Address
    Hon. Mary Jo White
  • How’s Life in the Capital Markets?
    Martin P. Dunn, Stanley Keller, Deanna L. Kirkpatrick, Thomas W. Yang, Keith F. Higgins, Abigail Arms
  • What's New in Rulemaking?
    Hon. Elisse B. Walter, David B. Harms, Keith F. Higgins, Craig M. Lewis, Felicia Kung
  • Social Media: Not Just Tweeting and Liking, But Understanding What’s Allowed and What Securities Lawyers Need to Know
    Meredith B. Cross, Steven E. Bochner, Catherine T. Dixon, Mike Johnson, Nicole M. Maddrey
  • Facing Your Corporate Governance Challenges: Navigating Activism and Engagement
    Stephen L. Brown, John W. White, Gary Retelny, Jennifer M. Daniels, Catherine R. Kinney
  • Keynote Address - Day 2
    Brackett B. Denniston, III
  • The General Counsel’s Perspective: Living in the Real World
    Richard H. Walker, Bradley E. Lerman, Louise M. Parent, Christopher B. Walther
  • Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers
    Linda L. Griggs, Paul A. Beswick, Daniel L. Goelzer, Jan R. Hauser, James H. Quigley, James R. Doty
  • Q&A Picnic Lunch with the SEC’s Division of Corporation Finance
    Karen J. Garnett, Keith F. Higgins, Shelley E. Parratt
  • The Latest Developments with Investment Companies, Private Funds and Investment Advisers
    Jay G. Baris, Alison M. Fuller, Paul N. Roth, Norm Champ, Andrew J. Donohue
  • Tackling Disclosure and Compensation Requirements
    Brian V. Breheny, Christopher A. Butner, Keir D. Gumbs, Ann L. Yerger, Robin A. Ferracone, Karen J. Garnett
  • Government Enforcement: The Top Cops’ Programs and Priorities
    Carmen J. Lawrence, Preet Bharara, Andrew J. Ceresney, David Meister
  • The Defense Perspective: Strategies and Considerations in Responding to New Policies and Priorities in Securities Enforcement
    Robert S Khuzami, Herbert F. Janick, III, Linda Chatman Thomsen, Bruce E. Yannett, Andrew J. Levander
  • Private Securities Litigation
    D. Scott Tucker, Ralph C. Ferrara, Jonathan K. Youngwood, Charles S. Duggan, Max W. Berger, Mary Reisert
  • Private Securities Litigation
    Ralph C. Ferrara
  • Developments in Mergers and Acquisitions- 45th Annual Institute on Securities Regulation
    Eileen T. Nugent, Mark J. Gentile, Steven A. Rosenblum, Faiza J. Saeed, Joseph A. Stern
  • Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences?
    William R. McLucas
  • Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences?
    Giovanni P. Prezioso
  • Not Your Father’s Ethics Environment – Is There Increased Scrutiny of Lawyers? What Is the Truth and What Are the Consequences?
    Giovanni P. Prezioso, Dixie L. Johnson, John F. Olson, Richard M. Humes, William R. McLucas
Co-Chair(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
David M. Lynn ~ Partner, Morrison & Foerster LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Jay G. Baris ~ Morrison & Foerster LLP
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Linda L. Griggs ~ Morgan, Lewis & Bockius LLP
Stanley Keller ~ Edwards Wildman Palmer LLP
Robert S Khuzami ~ Kirkland & Ellis LLP
Carmen J. Lawrence ~ King & Spalding LLP
Eileen T. Nugent ~ Skadden, Arps, Slate, Meagher & Flom LLP
Giovanni P. Prezioso ~ Cleary Gottlieb Steen & Hamilton LLP
D. Scott Tucker ~ Global Head of Litigation, Morgan Stanley
Richard H. Walker ~ General Counsel, Member of the Group Executive Committee, Deutsche Bank AG
John W. White ~ Cravath, Swaine & Moore LLP
Speaker(s)
Abigail Arms ~ Retired Partner, Shearman & Sterling LLP
Max W. Berger ~ Bernstein Litowitz Berger & Grossmann
Paul A. Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Preet Bharara ~ United States Attorney, United States Attorney's Office, Southern District of New York
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Stephen L. Brown ~ CEO & President, Society of Corporate Secretaries & Governance Professionals
Christopher A. Butner ~ Assistant Secretary & Managing Counsel, Securities/Corporate Governance, Chevron Corporation
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jennifer M. Daniels ~ Senior Vice President, General Counsel and Corporate Secretary, NCR Corporation
Brackett B. Denniston, III ~ Senior Vice President and General Counsel, General Electric Company
Catherine T. Dixon ~ Weil, Gotshal & Manges LLP
Andrew J. Donohue ~ Managing Director, Goldman Sachs Asset Management LP
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
Charles S. Duggan ~ Davis Polk & Wardwell
Martin P. Dunn ~ Morrison & Foerster LLP
Robin A. Ferracone ~ Chief Executive Officer, Farient Advisors LLC
Ralph C. Ferrara ~ Proskauer Rose LLP
Alison M. Fuller ~ Stradley Ronon Stevens & Young LLP
Karen J. Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance
Mark J. Gentile ~ Richards, Layton & Finger, P.A.
Daniel L. Goelzer ~ Baker & McKenzie LLP
Keir D. Gumbs ~ Covington & Burling LLP
David B. Harms ~ Sullivan & Cromwell LLP
Jan R. Hauser ~ Vice President, Controller and Chief Accounting Officer, General Electric Company
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission
Herbert F. Janick, III ~ Sidley Austin LLP
Mike Johnson ~ Director & Associate General Counsel - Corporate/Securities/M&A, Facebook
Dixie L. Johnson ~ King & Spalding
Catherine R. Kinney ~ Director: Metlife Inc.; MSCI, Inc.; NetSuite Inc.; QTS Realty Trust Inc.; Catholic Charities (Chair),
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Felicia Kung ~ Chief, Office of Rulemaking, Division of Corporation Finance, U.S. Securities and Exchange Commission
Bradley E. Lerman ~ Executive Vice President, General Counsel, and Corporate Secretary, Federal National Mortgage Association
Andrew J. Levander ~ Dechert LLP
Craig M. Lewis ~ Chief Economist and Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Nicole M. Maddrey ~ Vice President, Deputy General Counsel and Assistant Secretary, The Washington Post Company
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
David Meister ~ Former Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Louise M. Parent ~ Executive Vice President and General Counsel, American Express Company
Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
James H. Quigley ~ Chief Executive Officer Emeritus / Retired Senior Partner, Deloitte,
Mary Reisert ~ Managing Director, Citigroup Global Markets Inc.
Gary Retelny ~ President, ISS Inc. and Managing Director, MSCI Inc., MSCI Inc.
Steven A. Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Paul N. Roth ~ Schulte Roth & Zabel LLP
Faiza J. Saeed ~ Cravath, Swaine & Moore LLP
Joseph A. Stern ~ Managing Director, Goldman Sachs & Co
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Hon. Elisse B. Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Christopher B. Walther ~ Chief Legal Officer, Activision Blizzard, Inc.
Hon. Mary Jo White ~ Chair, U.S. Securities and Exchange Commission
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Bruce E. Yannett ~ Debevoise & Plimpton LLP
Ann L. Yerger ~ Executive Director, Council of Institutional Investors
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the Credit Information box to the right of each product description for credit information specific to your state.


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.


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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"Always a top program - well worth the time for any securities lawyer to attend."
2012 Attendee

"Excellent program overall. The opening session on the JOBS Act was comprehensive, engaging, and enough time was devoted to do the job. Top notch!"
2012 Attendee

"I am VERY impressed with the changes in the program: fewer, longer panels; avoiding narrow topics of interest to only a few; using lots of hypotheticals to stimulate panel discussion; covering the kinds of difficult, interdisciplinary questions that attendees actually confront in their work. Good job!!"
2012 Attendee

"Please be advised that the 3-day PLI conference on securities  law was absolutely a phenomenal experience for me. I am extremely grateful for the opportunity to have attended this PLI seminar."
2012 Attendee

"This was another excellent and instructive program that was timely, insightful and well presented."
2012 Attendee