Course Handbook  Course Handbook

49th Annual Institute on Securities Regulation

Publication Date: November 2017 Number of Volumes: 3
ISBN Number: 9781402430114 Page Count: 3398 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, Recent Developments in Public Offerings, A Collection of Selected Updates from November 2016—August 2017 Deanna L Kirkpatrick ~ Davis Polk & Wardwell LLP
Chapter 2: Joshua N. Korff and Christine Strumpen-Darrie, Make-Whole Premiums: Latest Market Technology Joshua N Korff ~ Kirkland & Ellis LLP
Chapter 3: Latham & Watkins LLP, US IPO User Guide, 2016 Edition (June 30, 2016) Ian D Schuman ~ Latham & Watkins LLP
Chapter 4: Jeffrey R. Vetter and Ran Ben-Tzur, Fenwick & West LLP, New Index Rules Likely to Significantly Impact Tech Companies with Multi-Class Capital Structures (August 4, 2017) Jeffrey R Vetter ~ Fenwick & West LLP
Chapter 5: Fenwick & West LLP, Key Metrics for Technology and Life Sciences Initial Public Offerings (H1 2017) Jeffrey R Vetter ~ Fenwick & West LLP
Chapter 6: Stanley Keller, SEC Opinion Raises Question About 2007 General Solicitation Guidance Gordon K Davidson ~ Fenwick & West LLP
Chapter 7: KCD Financial Inc., Exchange Act Release No. 80340, Admin. Proc. File No. 3-17512 (Mar. 29, 2017) (sustaining disciplinary action taken by FINRA) Gordon K Davidson ~ Fenwick & West LLP
Chapter 8: Revisions of Limited Offering Exemptions in Regulation D, 17 CFR Parts 200, 230 and 239 (Proposed rules; Request for additional comments, August 3, 2007) Gordon K Davidson ~ Fenwick & West LLP
Chapter 9: CrowdCheck, Inc., Communications and Publicity by Crowdfunding Portals (November 2016) Sara Hanks ~ Co-Founder and Chief Executive Officer, CrowdCheck,Inc.
Chapter 10: CrowdCheck, Inc., Concurrent Online Offerings Sara Hanks ~ Co-Founder and Chief Executive Officer, CrowdCheck,Inc.
Chapter 11: Anna T. Pinedo and James R. Tanenbaum, Morrison & Foerster LLP, Securities Offerings and Communications: Is the Integration Bogeyman Dead?, The Current: The Journal of PLI Press, Vol. 1, No. 1 (Summer 2017) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 12: Anna T. Pinedo and James R. Tanenbaum, Morrison & Foerster LLP, The Securities Law Crystal Ball (January 2017) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 13: ShareVault and Morrison & Foerster, Understanding Recent Regulation A+ Changes (March 2017) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 14: Ze’-ev D. Eiger and Anna T. Pinedo, Morrison & Foerster LLP, Practice Pointers on: Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 15: Morrison & Foerster LLP, Client Alert, Following the Wisdom of the Crowd?, A Look at the SEC’s Final Crowdfunding Rules (November 2, 2015) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 16: Morrison & Foerster LLP, Summary Chart of Exempt Offering Alternatives Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 17: Ze’-ev D. Eiger and Elizabeth C. Schauber, Morrison & Foerster LLP, Client Alert, SEC Adopts Final Rules Regarding Intrastate and Regional Offerings (October 27, 2016) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 18: Ze’-ev D. Eiger, Morrison & Foerster LLP, Practice Pointers on Matchmaking Basics: How it Works, Current Regulations and Key Considerations Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 19: Finders: A Boulder on the Path to Capital Formation for Small Businesses Gregory C Yadley ~ Shumaker Loop & Kendrick, LLP
Chapter 20: Accredited Investors = Capital for Small Businesses Gregory C Yadley ~ Shumaker Loop & Kendrick, LLP
Chapter 21: Capital for Small Businesses in Intrastate Offerings Gregory C Yadley ~ Shumaker Loop & Kendrick, LLP
Chapter 22: Council of Institutional Investors, Proxy Access: Best Practices 2017 (July 2017) Amy Borrus ~ Deputy Director, Council of Institutional Investors
Chapter 23: Yaw Asare and Lona Nallengara, Shearman & Sterling LLP, Status of Selected Dodd-Frank Act Rulemaking by the Securities and Exchange Commission (as of August 2017) Lona Nallengara ~ Shearman & Sterling LLP
Chapter 24: Shearman & Sterling LLP, CHOICE Act 2.0 Passes the House: What is the ‘CHOICE’? (July 20, 2017) Lona Nallengara ~ Shearman & Sterling LLP
Chapter 25: Skadden, Arps, Slate, Meagher & Flom LLP, Corporate Finance Alert, SEC to Permit All Issuers to Submit Confidential Draft Registration Statements (July 5, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 26: Skadden, Arps, Slate, Meagher & Flom LLP, Memorandum, Trump Tax Proposal Could Create Compensation-Related Opportunities (June 20, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 27: Skadden, Arps, Slate, Meagher & Flom LLP, Corporate Finance Alert, Financial CHOICE Act Aims to Open Capital Markets and Reduce Regulatory Burdens (June 12, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 28: Skadden, Arps, Slate, Meagher & Flom LLP, Memorandum, Potential Impact of Financial CHOICE Act on Corporate Governance and SEC Reporting and Disclosure Requirements (June 9, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 29: Skadden, Arps, Slate, Meagher & Flom LLP, SEC Reporting & Compliance Alert, Accounting Oversight Board Adopts New Model for Auditor Reports (June 7, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 30: Skadden, Arps, Slate, Meagher & Flom LLP, Brexit, SEC Disclosure Trends Related to Brexit and the Trump Administration (May 25, 2017) Brian V Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 31: Corporate Sustainability and Disclosure, Practical Law The Journal, Transactions & Business (March 2015) Katayun I Jaffari ~ Ballard Spahr LLP
Chapter 32: Nancy S. Cleveland and Katayun I. Jaffari, The Evolving Definitions of Materiality and Sustainability Reporting, The Legal Intelligencer (May 7, 2013) Katayun I Jaffari ~ Ballard Spahr LLP
Chapter 33: Updated Non-GAAP CDIs (May 17, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 34: Patrick Higgins and Kevin Garry, PwC, In Brief, No. US2016-22, SEC Updates Interpretive Guidance on Non-GAAP Financial Measures (May 19, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 35: Paula Loop and Terry Ward, PwC, Government Insights Center, ACES (Audit Committee Excellence Series), To GAAP or Non-GAAP? The SEC is Watching (June 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 36: Beth Paul and John May, PwC, Point of View, Building Confidence in Non-GAAP Measures and Other KPIs (May 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 37: Allergan Comment Chain (Intelligize, a LexisNexis company, March 24, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 38: Center for Audit Quality, Questions on Non-GAAP Measures: A Tool for Audit Committees (June 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 39: Center for Audit Quality, Non-GAAP Financial Measures, Continuing the Conversation (December 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 40: Derryck Coleman and Mercedes Erickson, Audit Analytics, A Look at Non-GAAP Reporting after New SEC Guidance (January 5, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 41: Mary Jo White, Chair, SEC, Keynote Address at the 2015 AICPA National Conference: “Maintaining High-Quality, Reliable Financial Reporting: A Shared and Weighty Responsibility” (December 9, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 42: Mary Jo White, Chair, SEC, Keynote Address, International Corporate Governance Network Annual Conference: Focusing the Lens of Disclosure to Set the Path Forward on Board Diversity, Non-GAAP, and Sustainability (June 27, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 43: Wesley R. Bricker, Chief Accountant, SEC, Keynote Address Before the 2016 AICPA Conference on Current SEC and PCAOB Developments, Working Together to Advance High Quality Information in the Capital Markets (December 5, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 44: Wesley R. Bricker, Chief Accountant, SEC, Remarks Before the 2017 Baruch College Financial Reporting Conference: “Advancing Our Capital Markets with High-Quality Information” (May 4, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 45: Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant, SEC, Remarks Before the Bloomberg BNA Conference on Revenue Recognition (May 8, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 46: Wesley R. Bricker, Chief Accountant, SEC, Remarks Before the Annual Life Sciences Accounting & Reporting Congress: “Advancing Effective Internal Control and Credible Financial Reporting” (March 21, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 47: Wesley R. Bricker, Deputy Chief Accountant, SEC, Remarks Before the 35th Annual SEC and Financial Reporting Institute Conference (June 9, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 48: Wesley R. Bricker, Deputy Chief Accountant, Office of the Chief Accountant, SEC, Remarks Before the 2016 Baruch College Financial Reporting Conference (May 5, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 49: Brett Cohen and Bill Coffey, PwC, In Brief, No. US2016-21, FASB Proposes Technical Corrections to the New Revenue Standard (May 19, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 50: PwC, Point of View, Preparing for the New Revenue Standard—Are You Ready? (December 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 51: Center for Audit Quality, Preparing for the New Revenue Recognition Standard (December 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 52: Olga Usvyatsky and Derryck Coleman, Audit Analytics, Early Adoption of ASC 606: First Glance (December 22, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 53: Olga Usvyatsky and Derryck Coleman, Audit Analytics, Six Months to New Revenue Standard Deadline (June 8, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 54: John Bishop, Ashima Jain and Chad Soares, PwC, In Depth, No. US2016-02, The Leasing Standard, A Comprehensive Look at the New Model and Its Impact (March 2, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 55: PwC, 10 Minutes on the New US Lease Standard (August 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 56: PwC, Impacts of the New Leasing Standard—Beyond Accounting (November 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 57: Brian Staniszewski, Professional Accounting Fellow, Office of the Chief Accountant, SEC, Remarks Before the 2016 AICPA National Conference on Current SEC and PCAOB Developments (December 5, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 58: John Althoff, Chip Currie and Edward Lee, PwC, In Depth, No. US2016-07, The FASB’s New Financial Instruments Impairment Model (July 11, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 59: John Althoff, Chip Currie, Jeffrey Joseph and Michael Kelly, PwC, In Depth, No. US2016-01, New Guidance on Recognition and Measurement to Impact Financial Instruments (January 29, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 60: FASB ASC 450-20 John W White ~ Cravath, Swaine & Moore LLP
Chapter 61: FASB Master Glossary—Loss Contingency (Definition) John W White ~ Cravath, Swaine & Moore LLP
Chapter 62: PwC, Financial Statement Presentation, Chapter 23: Commitments, Contingencies, and Guarantees John W White ~ Cravath, Swaine & Moore LLP
Chapter 63: Complaint, SEC v. RPM Int’l Inc., No. 1:16-cv-01803 (D.D.C. Sept. 9, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 64: U.S. Securities and Exchange Commission, SEC Litigation Release No. 23639, SEC Charges RPM International Inc. and its General Counsel for Disclosure and Accounting Failures (September 9, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 65: Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings and Imposing a Cease-and-Desist Order, In re General Motors Company, Exchange Act Release No. 79825 (SEC Jan. 18, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 66: U.S. Securities and Exchange Commission, Press Release, No. 2017-19, General Motors Charged with Accounting Control Failures (January 18, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 67: Stericycle Inc., Comment Chain John W White ~ Cravath, Swaine & Moore LLP
Chapter 68: Public Company Accounting Oversight Board, Improving the Transparency of Audits: Rules to Require Disclosure of Certain Audit Participants on a New PCAOB Form and Related Amendments to Auditing Standards, PCAOB Release No. 2015-008, PCAOB Rulemaking Docket Matter No. 029 (December 15, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 69: PCAOB News Release, PCAOB Adopts Rules Requiring Disclosure of the Engagement Partner and Other Audit Firms Participating in an Audit (December 15, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 70: PCAOB, Fact Sheet: Disclosure of Engagement Partner and Certain Other Participants on New PCAOB Form AP John W White ~ Cravath, Swaine & Moore LLP
Chapter 71: Marc Panucci and Randy Hoppe, PwC, In Brief, No. US2015-43, PCAOB Adopts Final Rules to Disclose Name of Partner and Others on New Form (December 18, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 72: Center for Audit Quality, Form AP, Auditor Reporting of Certain Audit Participants (June 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 73: Mercedes Erickson, Audit Analytics, A Century of Opinions: Companies with Auditor Tenure Over 100 Years (January 20, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 74: Joey Bonaldi, Audit Analytics, SEC Comment Letters, A Six Year Trend (June 13, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 75: Olga Usvyatsky, Audit Analytics, SEC Comment Letters, Early Returns (January 3, 2017) John W White ~ Cravath, Swaine & Moore LLP
Chapter 76: Jessica McKeon, Audit Analytics, SEC Comment Letters, A Look at Top Issues in 2016 (December 12, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 77: Joey Bonaldi, Audit Analytics, Update on “SEC Comment Letters: A Five Year Trend” (2015) (August 1, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 78: Ethical Issues in Transactional Settings, Selected Materials Ralph C Ferrara ~ Proskauer Rose LLP
John F Olson ~ Gibson, Dunn & Crutcher LLP
Paul L Choi ~ Sidley Austin LLP
Jennifer A Paradise ~ General Counsel, White & Case LLP
Chapter 79: Katie M. Lachter, Ethical Issues in Transactional Settings Ralph C Ferrara ~ Proskauer Rose LLP
Chapter 80: The Williams Companies, Inc. v. Energy Transfer Equity, L.P., et al., No. 330, 2016, C.A. Nos. 12168 & 12337 (Del. Ch. Mar. 23, 2017) John F Olson ~ Gibson, Dunn & Crutcher LLP
Chapter 81: Statement on the Role of Customary Practice in the Preparation and Understanding of Third-Party Legal Opinions, ABA Legal Opinions Committee and Various Other Bar and Legal Groups, 63 Bus. Law. 1277 (2008) Stanley Keller ~ Locke Lord LLP
Chapter 82: Guidelines for the Preparation of Closing Opinions, Section of Business Law of the American Bar Association, The Committee on Legal Opinions, 57 Bus. Law, 875 (2002) Stanley Keller ~ Locke Lord LLP
Chapter 83: Legal Opinions in SEC Filings (2013 Update), Task Force on Securities Law Opinions, ABA Business Law Section, 68 Bus. Law. 1149 (2013) Stanley Keller ~ Locke Lord LLP
Chapter 84: Negative Assurance in Securities Offerings (2008 Revision), Report of the Subcommittee on Securities Law Opinions, Committee on Federal Regulation of Securities, ABA Section of Business Law, 64 Bus. Law. 395 (2009) Stanley Keller ~ Locke Lord LLP
Chapter 85: No Registration Opinions, Report of the Subcommittee on Securities Law Opinions (2015 Update), Federal Regulation of Securities Committee, ABA Business Law Section, 71 Bus. Law, 129 (2015–2016) Stanley Keller ~ Locke Lord LLP
Chapter 86: SEC v. Sourlis, 851 F.3d 139 (2d Cir. 2016) Stanley Keller ~ Locke Lord LLP
Chapter 87: Opinion dated January 11, 2006, delivered by Virginia K. Sourlis Re: Instructions—Issuance of Common Stock Underlying Convertible Promissory Notes Stanley Keller ~ Locke Lord LLP
Chapter 88: SEC v. Frohling, 851 F.3d 132 (2d Cir. 2016) Stanley Keller ~ Locke Lord LLP
Chapter 89: Exchange Act Rule 14e-1 Opinions for Debt Tender Offers, The Business Lawyer, ABA Subcommittee on Securities Law Opinions (April 28, 2017) Stanley Keller ~ Locke Lord LLP
Chapter 90: Opinions of U.S. Counsel in Cross-Border Transactions Ettore A Santucci ~ Goodwin Procter LLP
Chapter 91: Chapter 1: The Venture Capital Board Member’s Survival Guide: Handling Conflicts Effectively While Wearing Two Hats Amy L Simmerman ~ Wilson Sonsini Goodrich & Rosati
Chapter 92: Wilson Sonsini Goodrich & Rosati, WSGR Alert, Major Stock Index Providers to Limit Inclusion of Multi-Class Companies: What It Means and Why It Matters (August 8, 2017) Steven E Bochner ~ Wilson Sonsini Goodrich & Rosati
Chapter 93: Wilson Sonsini Goodrich & Rosati, WSGR Alert, Dual-Class Stock and Private Ordering: A System That Works (May 17, 2017) Steven E Bochner ~ Wilson Sonsini Goodrich & Rosati
Chapter 94: Hogan Lovells, SEC Update, September 1 Effective Date for Exhibit Hyperlinks in SEC Filings Fast Approaching (August 1, 2017) Alan L Dye ~ Hogan Lovells
Chapter 95: Hogan Lovells, SEC Update, SEC Extends to Non-EGCs Process for Nonpublic review of Registration Statements (July 7, 2017) Alan L Dye ~ Hogan Lovells
Chapter 96: Hogan Lovells, SEC Staff Issues New Guidance on CEO Pay Ratio Disclosure Requirements (November 4, 2016) Alan L Dye ~ Hogan Lovells
Chapter 97: David A. Katz and Laura A. McIntosh, Corporate Governance Update: Prioritizing Board Diversity (January 25, 2017) David A Katz ~ Wachtell, Lipton, Rosen & Katz
Chapter 98: Gibson, Dunn & Crutcher LLP, Shareholder Proposal Developments During the 2017 Proxy Season Ronald O Mueller ~ Gibson, Dunn & Crutcher LLP
Chapter 99: CamberView Partners, LLC, Investor Coalition Publishes U.S. Stewardship Code (January 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 100: CamberView Partners, LLC, The CEO-to-Employee Pay Ratio Rule: Begin Thinking About Messaging Now (August 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 101: Compensia, Inc., Thoughtful Pay Alert, The New ISS Pay-for-Performance Methodology—A Closer Look at the Gathering Storm (June 12, 2017) Mark A Borges ~ Principal, Compensia, Inc.
Chapter 102: CamberView Partners, LLC, Five Investor Trends Driving Say-on-Pay Votes in 2017 (April 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 103: Abe M. Friedman and Chad Spitler, CamberView Partners, LLC, Sustainability Goes Mainstream (April 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 104: Covington & Burling LLP, Client Alert, Choice Act 2.0: Key Capital Markets and Securities Law Provisions (May 2, 2017) Keir D Gumbs ~ Covington & Burling LLP
Chapter 105: CamberView Partners, LLC, Client Alert, After the Annual General Meeting: How Boards Can Prepare for Next Year (June 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 106: Covington & Burling LLP, Client Alert, SEC Permits All Companies to File Certain Registration Statements Confidentially (July 5, 2017) Keir D Gumbs ~ Covington & Burling LLP
Chapter 107: Covington & Burling LLP, Client Alert, SEC Requires Hyperlinks to Exhibits (April 11, 2017) Keir D Gumbs ~ Covington & Burling LLP
Chapter 108: Covington & Burling LLP, Client Alert, SEC Signals Some Relief on Conflict Minerals Rule (April 17, 2017) Keir D Gumbs ~ Covington & Burling LLP
Chapter 109: Covington & Burling LLP, Client Alert, EU Adopts Final Regulation on Importation of Conflict Minerals (March 28, 2017) Keir D Gumbs ~ Covington & Burling LLP
Chapter 110: CamberView Partners, LLC, S&P Dow Jones Indices and FTSE Russell Announce Decisions on Exclusion of Companies with Multiple-Class Share Structures (August 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 111: CamberView Partners, LLC, FTSE Russell to Exclude Companies with Low or No Voting Rights from Stock Indexes (July 2017) Christopher A Wightman ~ Partner, CamberView Partners, LLC
Chapter 112: Current Developments, Division of Corporation Finance, U.S. Securities and Exchange Commission (August 15, 2017) David M Lynn ~ Jenner & Block LLP
Chapter 113: Delaware Update: The Latest Legislative and Judicial Developments (Compilation) Lawrence A Hamermesh ~ Professor Emeritus, Widener University Delaware Law School
Chapter 114: Takeover Law and Practice (March 2017) David A Katz ~ Wachtell, Lipton, Rosen & Katz
Steven A Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Chapter 115: Willis Towers Watson, FINEX Observer, Practical Insight into the World of Financial and Executive Risks Matthew Furman ~ General Counsel, Willis Towers Watson
Chapter 116: Independent Directors of the Board of Wells Fargo & Company, Sales Practices Investigation Report (April 10, 2017) Richard H Walker ~ King & Spaulding
Chapter 117: The Holder Report on Uber’s Workplace Culture Richard H Walker ~ King & Spaulding
Chapter 118: Colleen P. Mahoney, Charles F. Walker, Erich T. Schwartz, Andrew M. Lawrence and Joshua A. Ellis, Trends in SEC Enforcement & Internal Investigations (August 17, 2017) Colleen P Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 119: The Defense Perspective: The Many Shades of Gray Dixie L Johnson ~ King & Spalding
Andrew J Ceresney ~ Debevoise & Plimpton LLP
Robert S Khuzami ~ Kirkland & Ellis LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
George S Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Chapter 120: Dixie L. Johnson, M. Alexander Koch, and Victoria V. Bohannan, SEC Enforcement Developments (Submitted August 23, 2017) Dixie L Johnson ~ King & Spalding
Chapter 121: Leidos and MD&A: Seeing MD&A Through the Eyes of the SEC John J Huber ~ Affiliate, Forensic and Litigation Consulting, FTI Consulting Inc.
Chapter 122: Jonathan K. Youngwood and Nihara K. Choudhri, The Extraterritorial Application of Section 10(b) After Morrison v. National Australia Bank (August 11, 2017) Jonathan K Youngwood ~ Simpson Thacher & Bartlett LLP
Chapter 123: Wells Fargo, News Release, Wells Fargo Issues Statement on Agreement Related to Sales Practices (September 8, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 124: Wells Fargo., Living Our Values, Inside the Stagecoach, Perspective on September 8 Settlement Announcement, A Message from John Stumpf, Chairman and CEO of Wells Fargo & Company (September 8, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 125: Wells Fargo, News Release, Wells Fargo to Eliminate Product Sales Goals for Retail Bankers (September 13, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 126: Wells Fargo, News Release, Wells Fargo Chairman and CEO John Stumpf Outlines a Series of New Actions to Strengthen Culture and Rebuild Trust of Customers and Team Members at Senate Banking Committee Hearing (September 20, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 127: Wells Fargo, News Release, Independent Directors of Wells Fargo Conducting Investigation of Retail Banking Sales Practices and Related Matters (September 27, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 128: Wells Fargo, News Release, Wells Fargo Chairman and CEO John Stumpf Provides an Update on Actions to Address Wrongful Sales Practices in the Company’s Retail Bank (September 29, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 129: Wells Fargo, News Release, Wells Fargo Chairman, CEO John Stumpf Retires; Board of Directors Elects Tim Sloan CEO, Director; Appoints Lead Director Stephen Sanger Chairman, Director Elizabeth Duke Vice Chair (October 12, 2016) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 130: Wells Fargo, News Release, Wells Fargo Announces Actions Based on Retail Banking Sales Practices Investigation (February 21, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 131: Wells Fargo, News Release, Wells Fargo Announces Executive Compensation Actions to Promote Accountability (March 1, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 132: Wells Fargo, News Release, Wells Fargo Reiterates Commitment to Building a Better Bank with Open Letter to Customers (April 4, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 133: Wells Fargo, News Release, Wells Fargo Board Releases Findings of Independent Investigation of Retail Banking Sales Practices and Related Matters (April 10, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 134: Wells Fargo, News Release, Wells Fargo Statement Regarding Board Investigation into the Community Bank’s Retail Sales Practices (April 10, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 135: Wells Fargo, News Release, Wells Fargo CEO Shares Updates on Company’s Rebuilding Trust Efforts in Companywide Message (August 4, 2017) Stephen M Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Chapter 136: Managing Crises in the Social Media Era: Ten Do’s and Don’t’s (August 11, 2017) Mary Jo White ~ Debevoise & Plimpton LLP
Chapter 137: Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical I Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Chapter 138: Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical II Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Chapter 139: Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical III Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Chapter 140: Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical IV Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Chapter 141: Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical V Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Chapter 142: Ethics on the Enforcement Context: Spotting and Solving the Issues James Q Walker ~ Richards Kibbe & Orbe LLP
Index

This Course Handbook was compiled for the program, 49th 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, Jenner & Block LLP
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