Course Handbook  Course Handbook

50th Annual Institute on Securities Regulation

Publication Date: November 2018 Number of Volumes: 1
ISBN Number: 9781402432576 Page Count: 3842 pages

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Table of Contents to Vol. 1
Table of Contents to Vol. 2
Table of Contents to Vol. 3
Chapter 1: Davis Polk, Developments in the Capital Markets, A Collection of Selected Updates from November 2017–August 2018 Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Chapter 2: Davis Polk, Corporate Governance Practices in U.S. Initial Public Offerings (Controlled Companies) (July 2018) Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Chapter 3: Davis Polk, Corporate Governance Practices in U.S. Initial Public Offerings (Excluding Controlled Companies) (July 2018) Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Chapter 4: Wilson Sonsini Goodrich & Rosati, The Entrepreneurs Report, Private Company Financing Trends, From the WSGR Database: Financing Trends for 1H 2018 Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Chapter 5: Wilson Sonsini Goodrich & Rosati, Practitioner Insight, Why the SEC Thinks Most Tokens Are Securities and When the SEC Thinks a Token Might Stop Being a Security (August 1, 2018) Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Chapter 6: Gordon Davidson and Alyssa Zhang, SEC Concept Release Requests Comments on Changes to Rule 701 (August 9, 2018) Gordon K. Davidson ~ Fenwick & West LLP
Chapter 7: Selected Blog Posts Regarding Regulation A+ and Smaller Reporting Companies David N. Feldman ~ Duane Morris LLP
Chapter 8: Mayer Brown, Mezzanine Private Placements (Chart) Anna T. Pinedo ~ Mayer Brown LLP
Chapter 9: Anna T. Pinedo and James R. Tanenbaum, Ch.13: Staying Private, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition) (2017) Anna T. Pinedo ~ Mayer Brown LLP
Chapter 10: Anna T. Pinedo and James R. Tanenbaum, Ch.15: Traditional PIPE Transactions, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition) (2017) Anna T. Pinedo ~ Mayer Brown LLP
Chapter 11: Deloitte, Heads Up, ASC 606 Is Here—How Do Your Revenue Disclosures Stack Up? Volume 25, Issue 9 (July 11, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 12: Deloitte, A Roadmap to Applying the New Revenue Recognition Standard (September 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 13: Audit Analytics, Are Companies Really Seeing Revenue Growth, or Is It an Accounting Adjustment? John W. White ~ Cravath, Swaine & Moore LLP
Chapter 14: Audit Analytics, Accounting Quality Insights: Impact of New Revenue Recognition Rule Adoption for Russell 3000 Companies John W. White ~ Cravath, Swaine & Moore LLP
Chapter 15: Financial Acounting Standards Board, FASB in Focus: Accounting Standard Update No. 2016-02, Leases (Topic 842) (February 25, 2016) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 16: Financial Acounting Standards Board, Financial Accounting Series, Accounting Standards Update: Leases (Topic 842)—Targeted Improvements, No. 2018-11, July 2018 John W. White ~ Cravath, Swaine & Moore LLP
Chapter 17: Stephen McKinney and Tim Kolber, Deloitte, An Executive Summary of the FASB’s New Lease Accounting Standard (May 16, 2016) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 18: Deloitte, Heads Up, Bring It On! FASB’s New Standard Brings Most Leases Onto the Balance Sheet, Volume 23, Issue 5 (March 1, 2016, Updated July 12, 2016) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 19: Deloitte, Heads Up, Frequently Asked Questions About the FASB’s New Leases Standard, Volume 24, Issue 12 (April 25, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 20: Sagar Teotia, Deputy Chief Accountant, U.S. Securities and Exchange Commission, Speech, Progress Is Being Made: Continued Focus on Addressing Implementation Matters, Remarks Before the 37th Annual SEC and Financial Reporting Institute Conference (June 7, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 21: Wesley R. Bricker, Chief Accountant, U.S. Securities and Exchange Commission, Speech, Remarks Before the 2018 Baruch College Financial Reporting Conference: “Working Together to Advance Financial Reporting” (May 3, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 22: Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission, Speech, Statement in Connection with the 2017 AICPA Conference on Current SEC and PCAOB Developments (December 4, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 23: U.S. Securities and Exchange Commission, SEC Compliance & Disclosure Interpretations, Non-GAAP Financial Measures (Last Update: April 4, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 24: Deloitte, A Roadmap to Non-GAAP Financial Measures (November 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 25: Deloitte, SEC Comment Letters—Including Industry Insights (November 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 26: Deloitte, Thinking Allowed: Non-GAAP and Alternative Performance Measures (February 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 27: Joey Bonaldi, Audit Analytics, SEC Comment Letters: A Seven Year Trend (July 13, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 28: Don Whalen, Olga Usvyatsky and Derryck Coleman, Audit Analytics, Corporate Implementation of SEC’s Compliance & Disclosure Interpretations Regarding Non-GAAP Financial Measures (December 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 29: Michael P. Dusza, Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission, Speech, Remarks Before the 2017 AICPA Conference on Current SEC and PCAOB Developments (December 4, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 30: U.S. Securities and Exchange Commission, Staff Accounting Bulletin No. 118, 17 CFR Part 211, Release No. SAB 118 (Modified February 27, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 31: Deloitte, Financial Reporting Alert 18-1, Frequently Asked Questions About Tax Reform (January 3, 2018, Last Updated March 20, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 32: William Hinman, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission, Speech, Keynote Address at the PLI’s Seventeenth Annual Institute on Securities Regulation in Europe John W. White ~ Cravath, Swaine & Moore LLP
Chapter 33: Deloitte, Heads Up, ‘Twas the Night Before Adoption: Highlights of the 2017 AICPA Conference on Current SEC and PCAOB Developments, Volume 24, Issue 30 (December 10, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 34: Public Company Accounting Oversight Board, Staff Guidance, Changes to the Auditor’s Report Effective for Audits of Fiscal Years Ending on or After December 15, 2017 (December 4, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 35: Public Company Accounting Oversight Board, PCAOB Adopts New Standard to Enhance the Relevance and Usefulness of the Auditor’s Report with Additional Information for Investors (June 1, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 36: Public Company Accounting Oversight Board, Fact Sheet: Adoption of an Auditing Standard on the Auditor’s Report (June 1, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 37: Megan Zietsman, et al., Deloitte, Heads Up, PCAOB Adopts Changes to the Auditor’s Report, Volume 24, Issue 16 (June 20, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 38: Chairman Jay Clayton, U.S. Securities and Exchange Commission, Public Statement, Statement on SEC Approval of the PCAOB’s New Auditor’s Reporting Standard (October 23, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 39: Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission, Speech, Statement in Connection with the 2017 AICPA Conference on Current SEC and PCAOB Developments (December 4, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 40: Center for Audit Quality, CAQ Alert No. 2017-06, The Auditor’s Report—New Requirements for 2017 (October 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 41: Center for Audit Quality, Critical Audit Matters, Key Concepts and FAQs for Audit Committees, Investors, and Other Users of Financial Statements (July 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 42: William D. Duhnke, Chairman, PCAOB, Speech, PCAOB Transitions for the Future (May 17, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 43: Press Release No. 2017-230, SEC Appoints New Chairman and Board Members to PCAOB (December 12, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 44: Public Company Accounting Oversight Board, Standard-Setting Update—Office of the Chief Auditor (June 30, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 45: Public Company Accounting Oversight Board, PCAOB Seeks Input into Its 2018–2022 Strategic Planning Through a Public Survey (April 17, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 46: Public Company Accounting Oversight Board, PCAOB Draft Strategic Plan 2018–2022 (August 10, 2018) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 47: Deloitte, Heads Up, FASB Eliminates Step 2 From the Goodwill Impairment Test, Volume 24, Issue 5 (February 1, 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 48: Financial Acounting Standards Board, Financial Accounting Series, Accounting Standards Update: Intangibles—Goodwill and Other (Topic 350), Simplifying the Test for Goodwill Impairment, No. 2017-04 (January 2017) John W. White ~ Cravath, Swaine & Moore LLP
Chapter 49: U.S. Securities and Exchange Commission, Division of Corporation Finance, Financial Reporting Manual, Section 9510—Goodwill Impairment John W. White ~ Cravath, Swaine & Moore LLP
Chapter 50: Juan Batiz-Benet, Jesse Clayburgh and Marco Santori, The SAFT Project: Toward a Compliant Token Sale Framework (October 2, 2017) Curtis Mo ~ DLA Piper LLP (US)
Chapter 51: SAFT, Form of Simple Agreement for Future Tokens Curtis Mo ~ DLA Piper LLP (US)
Chapter 52: Cardozo Blockchain Project, Research Report #1, Not So Fast—Risks Related to the Use of a “SAFT” for Token Sales (November 21, 2017) Curtis Mo ~ DLA Piper LLP (US)
Chapter 53: Venture Capital Working Group, Token Sale Non-Exclusive Safe Harbor, For Discussion (March 26, 2018) Nancy H. Wotjas ~ Cooley LLP
Chapter 54: DLA Piper, Blockchain: Background, Challenges, and Legal Issues Curtis Mo ~ DLA Piper LLP (US)
Chapter 55: Benjamin Klein, Deborah R. Meshulam and Jason Chang, DLA Piper, Securities Enforcement Alert, Crypto Industry Sweep: ICOs and Token Offerings under Increasing Scrutiny by US Regulators (April 18, 2018) Curtis Mo ~ DLA Piper LLP (US)
Chapter 56: Deborah R. Meshulam and Benjamin Klein, DLA Piper, Securities Enforcement Alert, How One New York Court Is Shaping the Future of Cryptocurrency Regulation (May 17, 2018) Curtis Mo ~ DLA Piper LLP (US)
Chapter 57: Top Ten “DO’s” and “DON’Ts” If the SEC Calls; What to Expect (August 1, 2018) Nancy H. Wojtas ~ Cooley LLP
Chapter 58: U.S. Securities and Exchange Commission, Securities Exchange Act of 1934, Release No. 81207, Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The DAO (July 25, 2017) Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 59: William Hinman, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission, Speech, Digital Asset Transactions: When Howey Met Gary (Plastic), Remarks at the Yahoo Finance All Markets Summit: Crypto (June 14, 2018) Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 60: U.S. Securities and Exchange Commission, Divisions of Enforcement and Trading and Markets, Public Statement on Potentially Unlawful Online Platforms for Trading Digital Assets Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 61: Dalia Blass, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Staff Letter: Engaging on Fund Innovation and Cryptocurrency-Related Holdings (January 18, 2018) Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 62: U.S. Securities and Exchange Commission, Press Release No. 2018-88, The SEC Has an Opportunity You Won’t Want to Miss: Act Now! (May 16, 2018) Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 63: U.S. Securities and Exchange Commission, Cyber Enforcement Actions (Chart) Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Chapter 64: U.S. Commodity Futures Trading Commission, LabCFTC, A CFTC Primer on Virtual Currencies (October 17, 2017) (PowerPoint slides) K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Chapter 65: Commodity Futures Trading Commission, Proposed interpretation; request for comment, Retail Commodity Transactions Involving Virtual Currency, 17 CFR Part 1, RIN 3038–AE62, 82 Fed. Reg. No. 243 (December 20, 2017) K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Chapter 66: CFTC v. McDonnell and Cabbage Tech Corp. d/b/a Coin Drop Markets, 287 F.Supp.3d 213 (E.D.N.Y. Mar. 6, 2018) K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Chapter 67: Amir Zaidi and Brian Bussey, CFTC Staff Advisory No. 18-14, To: Designated Contract Markets, Swap Execution Facilities, and Derivative Clearing Organizations, Re: Advisory with Respect to Virtual Currency Derivative Product Listings (May 21, 2018) K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Chapter 68: Ellen Zimiles, Alma Angotti, and Laura Rau, Navigant, Digital Payments and Emerging Technologies—Best Practices for Managing the Risk Alma M. Angotti ~ Managing Director and Co-Head of Global Investigations and Compliance, Navigant Consulting, Inc.
Chapter 69: Mark Daws, Robert Dedman, and James Robertson, Navigant, Global Investigations & Compliance, New EU Rules Target Terrorist Financing and Ownership of Offshore Assets: Fifth Anti-Money Laundering Directive Imposes Greater Transparency Around Beneficial Ownership and Restrictions on Virtual Currencies Alma M. Angotti ~ Managing Director and Co-Head of Global Investigations and Compliance, Navigant Consulting, Inc.
Chapter 70: Ethical Issues in Transactional Settings, Selected Materials John Olson ~ Gibson, Dunn & Crutcher LLP
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Jennifer A. Paradise ~ White & Case LLP
Anne P. Ray ~ Senior Claims Examiner, Global Management Liability, Markel Corporation
Chapter 71: Selected Disclosure-Related Excerpts from Sidley Perspectives on M&A and Corporate Governance (Summer 2018) Thomas J. Kim ~ Sidley Austin LLP
Chapter 72: Corporate Social Responsibility Disclosure and Compliance: An Overview of Selected Legislation, Guidance and Voluntary Initiatives (August 2018) Michael R. Littenberg ~ Ropes & Gray LLP
Chapter 73: Martin Lipton, Further to the Warren Bill, The New Paradigm and a Better Way (August 22, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 74: Martin Lipton, Corporate Governance; Stakeholder Primacy; Federal Incorporation (August 15, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 75: David A. Katz and Laura A. McIntosh, Corporate Governance Update: Gender Diversity and Board Quotas (July 26, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 76: Martin Lipton, The UK Corporate Governance Code (July 16, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 77: David M. Silk, David A. Katz, Sabastian V. Niles and Carmen X. W. Lu, ESG and Sustainability: The Board’s Role (June 27, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 78: David A. Katz and Sabastian V. Niles, SEC Commissioner Questions Insider Sales into Stock Buybacks (June 12, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 79: Edward D. Herlihy and Sabastian V. Niles, T. Rowe Price: Perspectives on T. Rowe’s Public Stance on Shareholder Activism (June 12, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 80: Sabastian V. Niles, Board Ready: Shareholder Activism, Corporate Governance and the Hunt for Long-Term Value (June 11, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 81: David A. Katz and Laura A. McIntosh, Corporate Governance Update: Directors’ Notes: A Trap for the Unwary? (May 24, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 82: David A. Katz and Trevor S. Norwitz, Congress Increases Pressure on Proxy Advisory Firms (May 16, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 83: Martin Lipton, Corporate Purpose: ESG, CSR, PRI and Sustainable Long-Term Investment (May 2, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 84: David M. Silk, Sabastian V. Niles, Alicia C. McCarthy and Carmen X.W. Lu, An ESG Setback? DOL Sounds Cautionary Tone on ESG-Related Proxy Voting, Shareholder Engagement and Economically Targeted Investments (April 27, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 85: Martin Lipton, The Purpose of the Corporation (April 10, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 86: Martin Lipton, et al., Risk Management and the Board of Directors (Updated March 2018) (March 14, 2018) David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 87: Stephen Fraidin and Christopher J. Porcelli, Certain Issues Related to Hedge Fund Activism Stephen Fraidin ~ Cadwalader, Wickersham & Taft LLP
Chapter 88: Covington & Burling LLP, SEC Adopts New Guidance on Public Company Cybersecurity Disclosures and Insider Trading (March 1, 2018) Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Covington & Burling LLP
Chapter 89: Covington & Burling LLP, SEC Expands Definition of Smaller Reporting Company (July 9, 2018) Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Covington & Burling LLP
Chapter 90: The Best Practices Committee for Shareowner Participation in Virtual Annual Meetings, Principles and Best Practices for Virtual Annual Shareowner Meetings Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Covington & Burling LLP
Chapter 91: Skadden, Arps, Slate, Meagher & Flom LLP, Executive Compensation and Benefits Alert, Section 162(m) After the Tax Cuts and Jobs Act: What to Do Now (January 4, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 92: Joseph Penko, Robert Saunders and Audrey Murga, Harvard Law School Forum on Corporate Governance and Financial Regulation, Ineffective Stockholder Approval for Director Equity Awards (January 7, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 93: Regina Olshan, Joseph M. Penko and John Wright, Securities Regulation Daily, Impact of Compensation-Related Litigation on Public Companies (February 14, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 94: Skadden, Arps, Slate, Meagher & Flom LLP, Impact of SEC Staff Guidance on Shareholder Proposals in the 2018 Proxy Season: Dead-End Street or Road Under Construction? (June 19, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 95: Skadden, Arps, Slate, Meagher & Flom LLP, Capital Markets Alert, SEC Expands ‘Smaller Reporting Company’ Definition (July 9, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 96: Skadden, Arps, Slate, Meagher & Flom LLP, Capital Markets Alert, SEC Eases Disclosure Threshold under Rule 701 (July 19, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 97: Skadden, Arps, Slate, Meagher & Flom LLP, Capital Markets Alert, SEC Solicits Comment on Modernizing the Rules and Forms for Stock-Based Compensation (August 2, 2018) Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 98: Current Developments, Division of Corporation Finance, U.S. Securities and Exchange Commission (as of August 15, 2018) David M. Lynn ~ Morrison & Foerster LLP
Chapter 99: Morris Nichols Arsht & Tunnell LLP, Mergers & Acquisitions: A Delaware Checklist Patricia O. Vella ~ Morris, Nichols, Arsht & Tunnell LLP
Chapter 100: Recent Developments in Delaware Corporate Law Mark J. Gentile ~ Richards, Layton & Finger, PA
Chapter 101: The State of Appraisal in the Delaware Courts Michael A. Pittenger ~ Potter Anderson & Corroon LLP
Chapter 102: Amy L. Simmerman and Katharine A. Martin, Controlling Stockholder Conflicts and How to Handle Them Katharine A. Martin ~ Wilson Sonsini Goodrich & Rosati
Chapter 103: Colleen P. Mahoney, Charles F. Walker, Andrew M. Lawrence and Joshua A. Ellis, Trends in SEC Enforcement & Internal Investigations (August 30, 2018) Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 104: King & Spalding, Client Alert, Securities Enforcement and Regulation, Data, Privacy and Security, Practical Advice for Evaluating Insider Trading Compliance Programs in Light of Recent Cybersecurity Events and SEC Guidance (May 1, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 105: Dixie L. Johnson, Brian R. Michael, Ehren Halse, Kyle Sheahen and Matthew B. Hanson, How to Respond to an SEC Subpoena: The Top Ten Tips for Cryptocurrency Entities (March 7, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 106: Dixie L. Johnson, et al., Law 360, The Impact of Kokesh So Far, and What’s Next: Part 2 (February 14, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 107: Dixie L. Johnson, et al., Law 360, The Impact of Kokesh So Far, and What’s Next: Part 1 (February 13, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 108: King & Spalding, Client Alert, Special Matters; Government Advocacy and Public Policy Practice Group, Dividing Up the Sandbox: Recent Actions and Public Statements Demonstrate How the SEC and CFTC Are Dividing up the Cryptocurrency and Crypto-Token Enforcement Landscape (February 7, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 109: King & Spalding, Client Alert, Special Matters & Government Investigations/Government Advocacy & Public Policy Practice Groups, Bad Advice and Blockchain-R-US: Stern Warnings from the SEC and CFTC Chairmen on Unregistered ICOs, Cashing In on “Crypto-Mania” (January 26, 2018) Dixie L. Johnson ~ King & Spalding
Chapter 110: Debevoise & Plimpton LLP, Update, Supreme Court Holds Appointment of SEC’s In-House Judges Unconstitutional (June 25, 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 111: Debevoise & Plimpton LLP, Accounting & Financial Reporting Enforcement Round-Up, Issue 5 (May 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 112: Debevoise & Plimpton LLP, Update, DOJ’s New Policy on Coordination of Corporate Resolutions Aims to Reduce “Piling On” (May 11, 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 113: Debevoise & Plimpton LLP, Client Update, Supreme Court Clarifies Scope of Dodd-Frank’s Whistleblower Protections (February 22, 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 114: Debevoise & Plimpton LLP, Client Update, SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection (February 13, 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 115: Debevoise & Plimpton LLP, Accounting & Financial Reporting Enforcement Round-Up, Issue 4 (January 2018) Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Chapter 116: Jones Day, White Paper, SEC Enforcement in Financial Reporting and Disclosure—2018 Mid-Year Update (July 2018) Joan E. McKown ~ Jones Day
Chapter 117: Jones Day, Alert, U.S. Supreme Court Holds SEC’s Staff Appointments for Administrative Law Judge Unconstitutional (June 2018) Joan E. McKown ~ Jones Day
Chapter 118: Jones Day, Commentary, SEC Announces Yahoo Will Pay $35 Million for Failure to Disclose Data Security Incident (May 2018) Joan E. McKown ~ Jones Day
Chapter 119: Jones Day, Alert, Supreme Court Rules on Whistleblower Reporting to SEC (February 2018) Joan E. McKown ~ Jones Day
Chapter 120: Davis Polk, Client Memorandum, SEC’s Proposed Amendments to Its Whistleblower Program May Increase Reporting of Potential Securities-Law Violations to the SEC (July 6, 2018) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 121: Davis Polk, Client Memorandum, Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact (June 25, 2018) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 122: Davis Polk, Client Memorandum, SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures (March 15, 2018) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 123: Davis Polk, Client Memorandum, Supreme Court Rules that Dodd-Frank Whistleblower Protections Do Not Extend to Internal Reporting (February 27, 2018) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 124: Davis Polk, Client Memorandum, White Collar Update: Deputy Attorney General Rod Rosenstein Announces New FCPA Corporate Enforcement Policy Establishing a Category of Presumptive Declinations (December 1, 2017) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 125: Davis Polk, Client Memorandum, White Collar Update: SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin Provide Remarks on Enforcement Division’s Initiatives and Priorities (October 30, 2017) Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Chapter 126: Ralph Ferrara and Julia Alonzo, Recent Changes in Delaware Derivative Law Ralph C. Ferrara ~ Proskauer Rose LLP
Chapter 127: Managing Crises in the Social Media Era: Ten Do’s and Don’t’s Mary Jo White ~ Debevoise & Plimpton LLP
Chapter 128: Mary Jo White and David L. Portilla, Crisis Management in the Banking Industry, There Is No Substitute for Preparation to Meet Challenges and Crises Mary Jo White ~ Debevoise & Plimpton LLP
Chapter 129: Introduction to Crisis Communications (August 15, 2018) Winnie Lerner ~ Managing Partner & Deputy CEO, North America, Finsbury
Chapter 130: Wilmer Cutler Pickering Hale and Dorr LLP, Crisis Management and Cyber Security, Board Oversight of Cybersecurity William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Chapter 131: Wilmer Cutler Pickering Hale and Dorr LLP, Cybersecurity Readiness and Crisis Response William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Chapter 132: Playing by the Rules: Ethics in the Investigations and Litigation Context (November 9, 2017) James Q. Walker ~ Richards Kibbe & Orbe LLP
Index

This Course Handbook was compiled for the program, 50th Annual Institute on Securities Regulation.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Keith F. Higgins, Ropes & Gray LLP
Carmen J. Lawrence, King & Spalding
David M. Lynn, Morrison & Foerster LLP
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