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Institute on Securities Regulation (34th Annual)
Chair(s):
Linda C. Quinn, Curtis L. Mo, Gary G. Lynch
Practice Area:
Banking and finance,
Corporate law,
Securities and other financial products
Published:
Nov 2002
i
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ISBN:
1402402309
PLI Item #:
309
CHB Spine #:
B1343, B1344
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Table of Contents
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Front Matter
Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1. The New Disclosure Regime Post-Enron Outside Counsel’s Perspective
Chapter 2. The Response to Enron: The Sarbanes-Oxley Act of 2002 and Commission Rulemaking
Chapter 3. Disclosure Controls and Procedures
Chapter 4. Recent Developments in Federal Securities Regulation of Corporate Finance: As of September 20, 2002
Chapter 5. MD&A 2002: Linchpin of SEC Post-Enron Disclosure Reform
Chapter 6. SEC’s Proposed Rule, Disclosure in Management’s Discussion and Analysis about the Application of Critical Accounting Policies (Release Nos. 33-8098; 34-45907; International Series Release No. 1258, File No. S7-16-02)
Chapter 7. Speech by SEC Staff: Critical Accounting and Critical Disclosures by Robert K. Herdman, Chief Accountant, U.S. Securities and Exchange Commission January 24, 2002
Chapter 8. SEC Action: Cautionary Advice Regarding Disclosure About Critical Accounting Policies (Release Nos. 33-8040; 34-45149; FR-60)
Chapter 9. Financial Accounting Standards Board: The FASB Report: Technical Plan Second Quarter Action, No. 234-A July 26, 2002
Chapter 10. Executive Certifications
Chapter 11. Living With the Reform: The Impact of the Sarbanes-Oxley Act of 2002, SecMail No. 02-07-30(2), July 30, 2002 Fried, Frank, Harris, Shriver & Jacobson, Securities Regulation, Compliance and Enforcement Group
Chapter 12. The SEC’s New Certification and Internal Controls Rules are in Effect Now. SecMail No. 02-08-30. August 30, 2002. Fried, Frank, Harris, Shriver & Jacobson, Securities Regulation, Compliance and Enforcement Group
Chapter 13. Disclosure Controls: An Action Plan September 6, 2002 Fried, Frank, Harris, Shriver & Jacobson
Chapter 14. SEC Accelerates Deadline for Filing Form 10-K and Form 10-Q September 18, 2002 Fried, Frank, Harris, Shriver & Jacboson
Chapter 15. Securities Law Disclosure after Sarbanes-Oxley September 2002
Chapter 16. Corporate Governance Developments: The Sarbanes-Oxley Act of 2002
Chapter 17. New York Stock Exchange Corporate Governance Rule Proposals: Reflecting Recommendations from the NYSE Corporate Accountability and Listing Standards Committee as Approved by the NYSE Board of Directors, August 1, 2002
Chapter 18. Sweeping Legislation Toughens Regulation of Financial and Business Disclosure, Corporate Behavior and the Accounting Profession Brobeck, Phleger & Harrison LLP. Business and Technology Issue Alert, July 2002
Chapter 19. CEO/CFO Certification of 10-Q’s, 10-Ks Filed After July 30, 2002, Update on Sarbanes-Oxley Act Brobeck, Phleger & Harrison LLP. Business and Technology Issue Alert, July 2002
Chapter 20. Second Update on Sarbanes-Oxley Act: Section 906 Certification by CEO/CFO for 10-Qs, 10-Ks Filed on or after July 30, 2002 Brobeck, Phleger, & Harrison, LLP Business and Technology Issue Alert, August 2002.1025
Chapter 21. Two Business-Day Filing Deadline for Insider Transactions Effective August 29, 2002 Brobeck, Phleger & Harrison, LLP Business and Technology Issue Alert, August 2002
Chapter 22. SEC Approves Rules Accelerating 10-K and 10-Q Filings, Brobeck, Phleger & Harrison, LLP Business and Technology Issue Alert, September 2002
Chapter 23. Final SEC Rules Governing Section 302 Certification of Periodic Reports, Brobeck, Phleger & Harrison, LLP September 2002
Chapter 24. Sample Memo re: 2-Business Day Filing Deadline for Form 4 (Pre-Clearance) Brobeck, Phleger & Harrison, LLP
Chapter 25. Sample Memo re: 2-Business Day Filing Deadline for Form 4 (Pre-Notification) Brobeck, Phleger & Harrison, LLP
Chapter 26. Memorandum: New Accelerated Section 16 Reporting Requirements. September 18, 2002 Brobeck, Phleger & Harrison, LLP
Chapter 27. Memorandum: Prohibition on Loans to Executive Officers and Directors September 16, 2002 Brobeck, Phleger & Harrison, LLP
Chapter 28. Letter from Alastair Ross Goobey to James Cochrane, NYSE, re: Recommendations made to the Exchange by the Corporate Accountability and Listing Standards Committee dated July 18, 2002
Chapter 29. After Enron: Issues for Boards and Audit Committees to Consider Gibson, Dunn & Crutcher LLP February 13, 2002
Chapter 30. Recent Post-Enron Corporate Government Developments, Gibson, Dunn & Crutcher LLP, June 25, 2002
Chapter 31. Audit Committee Checklist and Compliance Timeline Gibson, Dunn & Crutcher LLP, August 19, 2002
Chapter 32. Emerging Responsibilities and Liabilities of the Corporate Lawyer
Chapter 33. Lawyers’ Roles after Enron and Sarbanes-Oxley: Advocates, Counselors and…Gatekeepers Too?
Chapter 34. Capital Markets Update
Chapter 35. Developments in IPOs (New Techniques and New Staff Review Priorities)
Chapter 36. Completing Your Offering On a Timely Basis
Chapter 37. Covington & Burling: A Summary of Sarbanes-Oxley Act of 2002
Chapter 38. Financing Alternatives for Public Companies
Chapter 39. The Metaphysics of Integration of Private and Public Offerings
Chapter 40. Summary of Recent Venture Capital Terms
Chapter 41. Down Rounds and Washouts
Chapter 42. Acquisition Carve-Out Plans for Private Companies
Chapter 43. Recent Trends in Venture Capital Financing Terms
Chapter 44. M&A Market Overview
Chapter 45. Public Company M&A: Recent Developments in Corporate Control, Protective Mechanisms and Other Deal Protection Techniques
Chapter 46. Recent Developments in Delaware Corporate Law
Chapter 47. Takeover Law and Practice 2002
Chapter 48. Acquisitions of Distressed Businesses
Chapter 49. Private Company M&A: Deal Structures, Execution and Related Issues
Chapter 50. Sarbanes-Oxley Act of 2002: CEO/CFO Certifications, Corporate Responsibility and Accounting Reform
Chapter 51. Common Issues Arising in Cross Border M&A Transactions Notwithstanding TIER l/TIER II Exemptions, Cleary, Gottlieb, Steen & Hamilton
Chapter 52. Sarbanes-Oxley Act of 2002—Provisions of Particular Interest for Foreign Private Issuers Cleary, Gottlieb, Steen & Hamilton
Chapter 53. Letter from the SEC to Shearman & Sterling re: Exchange Offer by Rhone Poulenc S.A. for Ordinary Shares and ADSs of Hoechst AG dated October 7, 1999
Chapter 54. Letter from the SEC to Shearman & Sterling re: Exchange Offer by Rhone Poulenc S.A. for Ordinary Shares and ADSs of Hoechst AG dated December 20, 1999
Chapter 55. Letter from Shearman & Sterling to SEC re: Rhone-Poulenc S.A. Exchange Offer for Hoechst AG dated October 7, 1999
Chapter 56. Letter from SEC to Shearman & Sterling re: Proposed Exchange Offer by Technip, S.A., for all of the outstanding ordinary shares and American Depositary Shares of Coflexip, S.A., dated August 30, 2001
Chapter 57. Letter from Shearman & Sterling to SEC re: Technip Exchange Offers for Coflexip Shares and Coflexip American Depositary Shares dated August 30, 2001
Chapter 58. SEC Release No. 42015 In the Matter of TotalFina’s Exchange Offer to Purchase all Ordinary Voting Shares and American Depositary Shares of Elf Aquitaine, SEC File No. 5-42054 Action: Order of Exemption from the Provisions of Section 14(d)(5) of the Securities Exchange Act of 1934 and Rule 14d-10(a), October 15, 1999 1999 SEC Lexis 2381
Chapter 59. SEC Reply to No-Action Letter re: Saipem SPA Offer for Shares and ADSs of Bouygues Offshore S.A. 2002 SEC No-Act Lexis 675, July 29, 2002
Chapter 60. Recent SEC Enforcement Cases
Chapter 61. Current Developments in the Government’s Corporate Prosecution Policy
Chapter 62. Role of the States Attorneys General in Policing the Securities Markets
Chapter 63. SEC Focus on Accounting Issues in Turbulent Times
Chapter 64. SEC Enforcement After Sarbanes-Oxley
Chapter 65. The Circuit Courts Speak: The Diverging Standards for Pleading Scienter Under the Private Securities Litigation Reform Act of 1995
Chapter 66. Impact of the Private Securities Litigation Reform Act on Case Filings: A Plaintiff Lawyer’s Perspective
Chapter 67. Securities Class Actions Since the 1995 Reform Act: A Plaintiff’s Perspective
Chapter 68. Settling Cases
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