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Securities Regulation Institute (41st Annual)
Chair(s):
Colleen P. Mahoney, Steven E. Bochner, Stanley Keller
Practice Area:
Corporate & Securities
Published:
Nov 2009
ISBN:
9781402413001
PLI Item #:
19278
CHB Spine #:
B1773, B1774
This version is not current.
Click here for the most recent version.
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1. U.S. Department of the Treasury, Financial Regulatory Reform: A New Foundation, Executive Summary
Chapter 2. U.S. Department of the Treasury Fact Sheets
Chapter 3. U.S. Department of the Treasury Press Release, July 24, 2009: Treasury Secretary Timothy F. Geithner Written Testimony Before the House Financial Services Committee
Chapter 4. Testimony Concerning Regulation of Systemic Risk, Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, Before the Committee on Banking, Housing and Urban Affairs, United States Senate, July 23, 2009
Chapter 5. Testimony Before the United States House of Representatives Committee on Financial Services, “Regulatory Perspectives on the Obama Administration’s Financial Regulatory Reform Proposals”, Wednesday, July 22, 2009, by Chairman Mary L. Schapiro, U.S. Securi
Chapter 6. Testimony Before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises, “SEC Oversight: Current State and Agenda”, Tuesday, July 14, 2009, by Chairman Mar
Chapter 7. Testimony Concerning Regulation of Over-the-Counter Derivatives, Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, Before the Subcommittee on Securities, Insurance, and Investment Committee on Banking, Housing, and Urban Affairs, United
Chapter 8. Sullivan & Cromwell LLP—Financial Services Regulation, June 17, 2009
Chapter 9. Cleary Gottlieb Alert Memo—President Obama’s Financial Regulatory Reform Plan: Key Issues for Market Participants
Chapter 10. Davis Polk—A New Foundation for Financial Regulation?, June 22, 2009
Chapter 11. Cleary Gottlieb Alert Memo—President Obama’s Financial Regulatory Reform Plan: A Closer Look
Chapter 12. Davis Polk Client Newsflash—Investor Protection Act of 2009
Chapter 13. Cleary Gottlieb Alert Memo—SEC Releases Proposed Disclosure Rule Changes for Compensation Program Risk, Compensation Consultant Independence and Equity-Based Compensation Awards
Chapter 14. Davis Polk—The Regulatory Reform Marathon, July 28, 2009
Chapter 15. Sullivan & Cromwell—Treasury OTC Derivatives Legislative Proposal, August 17, 2009
Chapter 16. Cleary Gottlieb Alert Memo—Obama Administration’s Legislative Proposal for Regulatory Reform of Over-the-Counter Derivatives Markets
Chapter 17. Financing Alternatives for Public Companies
Chapter 18. Why an Exempt Offering or a Hybrid Offering?
Chapter 19. ATMs: The Other Cash Machine
Chapter 20. Capital Markets
Chapter 21. Change in the Air? US Securities and Exchange Commission’s Recent Rule Revisions
Chapter 22. Frequently Asked Questions About PIPEs
Chapter 23. Frequently Asked Questions About Registered Direct Offerings
Chapter 24. Over the Wall and Through the Woods: A Look at Wall-Crossed Deals
Chapter 25. Over the Worst of It: The US Courts Have Reached the Wrong Conclusions in Recent PIPE Cases. The SEC Has Been Unable to Help Them
Chapter 26. PIPEs 2007: The Status Quo Takes a Blow
Chapter 27. PIPEs and Registered Directs: Back to the Future
Chapter 28. Rights Offerings: Right for Right Now
Chapter 29. The Offering of Choice in 2008
Chapter 30. The Short Story
Chapter 31. When a Primary Is Not a Primary: Large Volumes of PIPE Securities Now Cannot Be Easily Sold on
Chapter 32. IPO Market Update
Chapter 33. Securities and Exchange Commission—17 CFR Parts 200, 232, 240, 249 and 274 [Release Nos. 33-9046; 34-60089; IC-28765; File No. S7-10-09] Proposed Rule: Facilitating Shareholder Director Nominations
Chapter 34. Securities and Exchange Commission—17 CFR Part 240 [Release No. 34-60218; File No. S7-12-09] Proposed Rule: Shareholder Approval of Executive Compensation of TARP Recipients
Chapter 35. Securities and Exchange Commission—17 CFR Parts 229, 239, 240, 249, 270 and 274 [Release Nos. 33-9052; 34-60280; IC-28817; File No. S7-13-09] Proposed Rule: Proxy Disclosure and Solicitation Enhancements
Chapter 36. Using Web Sites As a Means of Public Dissemination: The Commission Guidance
Chapter 37. Using Corporate Websites for Regulation FD-Compliant Disclosures: Recommended Best Practices
Chapter 38. Is Your Company Tweeting Towards Trouble?: Twitter and Securities Law Compliance
Chapter 39. Anticipating the 2010 MD&A
Chapter 40. A Leap of Faith: Jumping Into Disclosure of Accounting Issues and Thriving
Chapter 41. A New Season for Environmental Risk Factors and Related Disclosures
Chapter 42. Inside Counsel in a More Perilous World
Chapter 43. Risk and the Chief Legal Officer: Potential Exposure
Chapter 44. Strategies to Achieve Cost Reduction Through Changes in Employment
Chapter 45. Key Policymaker Quotes on Executive Compensation
Chapter 46. House Committee on Financial Services Press Release, July 16, 2009: Frank Statement on Executive Compensation
Chapter 47. House Committee on Financial Services Press Release, June 31, 2009: House Passes Executive Compensation Reform
Chapter 48. Corporate and Financial Institution Compensation Fairness Act of 2009, H.R. 3269, July 31, 2009
Chapter 49. Executive Compensation Language in Financial Regulatory Reform, a New Foundation: Rebuilding Financial Supervision and Regulation
Chapter 50. U.S. Department of the Treasury Fact Sheet— Administration’s Regulatory Reform Agenda Moves Forward: New Independence for Compensation Committees (See Chapter 2 E.)
Chapter 51. U.S. Department of the Treasury Fact Sheet— Administration’s Regulatory Reform Agenda Moves Forward: Say-on-Pay (See Chapter 2 D.)
Chapter 52. Senator Charles E. Schumer Press Release, May 19, 2009: Schumer, Cantwell Announce ‘Shareholder Bill of Rights’ to Impose Greater Accountability on Corporate America
Chapter 53. Shareholder Bill of Rights Act of 2009, S.1074, May 19, 2009
Chapter 54. Shareholder Bill of Rights Act of 2009, S.1074, May 19, 2009 (See Chapter 46)
Chapter 55. Cravath, Swaine & Moore LLP: SEC Approves Amendment to NYSE Rule 452, Eliminating Broker Discretionary Voting in Uncontested Director Elections, July 1, 2009
Chapter 56. Comment Letters to the U.S. Securities and Exchange Commission Re: Facilitating Director Nominations (File No. S7-10-09)
Chapter 57. U.S. Securities and Exchange Commission: Speech by SEC Commissioner: “The American Corporation and Its Shareholders: Dooryard Visits Disallowed”, by Commissioner Elisse B. Walter, June 27, 2009
Chapter 58. Selected Recent Developments in U.S. Securities Laws and Corporate Finance
Chapter 59. Compensia, Inc. Thoughtful Pay Alert: Shareholder Advisory Votes on Executive Compensation--A "Say on Pay" Primer
Chapter 60. Compensia, Inc. Thoughtful Pay Alert: The SEC's New Disclosure Proposals
Chapter 61. Compensation Best Practices Overview
Chapter 62. The Conference Board Task Force on Executive Compensation
Chapter 63. Recent Developments in Delaware Corporate Law
Chapter 64. Lessons From the Meltdown: Reverse Termination Fees, Deal Lawyers, Vol. 2, No. 6, November-December 2008
Chapter 65. Lessons From the Meltdown: Mae Clauses, Deal Lawyers, Vol. 3, No. 1, January-February 2009
Chapter 66. Lessons From the Meltdown: Remedies, Deal Lawyers, Vol. 3, No. 2, March-April 2009
Chapter 67. Recent Decisions in Delaware Corporate Law: 2008-09
Chapter 68. "Good Faith" Under Delaware Law: Relevance, Definition and Application
Chapter 69. Defining the Proper Subject Matter for a Bylaw Under Delaware Law
Chapter 70. Shareholder Ratification Finally Defined and Properly Limited
Chapter 71. Corporate Governance Feature: Using Social Media Technology in Proxy Solicitations, the M&A Lawyer, May 2009, Volume 13, Issue 5
Chapter 72. 2009 Strategic Buyer/Public Target Mergers & Acquisitions Deal Points Study (For Transactions Announced In 2008)
Chapter 73. Takeover Law and Practice 2009
Chapter 74. Outline of Recent SEC Enforcement Actions
Chapter 75. Dealing with Multiple Regulators: Reflections on Parallel Investigations, Regulators' Differing Roles, and Issues to Consider in Representing Organizational Clients
Chapter 76. Davis Polk Memos
Chapter 77. Conducting Internal Investigations in the U.S. and Abroad
Chapter 78. Establishing Scienter in Securities Fraud Actions Through Imputation of Knowledge
Chapter 79. Dealing with Private Securities Litigation
Chapter 80. Loss Contingencies--Will Companies Enhance Disclosures in the Future?
Chapter 81. National Press Club, Speech Given by Robert H. Herz: History Doesn't Repeat Itself, People Repeat History--Front-Line Thoughts and Observations on Creating a Sounder Financial System, June 26, 2009
Chapter 82. Recent Work of the Public Company Accounting Oversight Board
Chapter 83. Financial Accounting Standards Board: Current Technical Plan and Projects Update
Chapter 84. Achieving a Single Set of Global Accounting Standards
Chapter 85. FASB Amends the Consolidation Guidance Related to Variable Interest Entities, Deloitte Heads UP, Volume 16, Issue 23, June 16, 2009
Chapter 86. FASB Issues New Standard on Transfers of Financial Assets, Deloitte Heads UP, Volume 16, Issue 22, June 16, 2009
Chapter 87. Hypotheticals
Chapter 88. Selected Resources
Chapter 89. Model Rules of Professional Conduct
Chapter 90. Hypothetical III: Ethically Changing Firms
Chapter 91. Improving the Chances of a Win-Win
Chapter 92. Panel Materials: Putting Your Professional Reputation and More on the Line
Chapter 93. Implications of the Obama White Paper on Financial Regulatory Reform
Chapter 94. Reforming Financial Market Regulation and Supervision--US and EU Approaches
Index to Vol. 1
Index to Vol. 2
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