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Securities Regulation Institute (38th Annual)
Chair(s):
Mary Jo White, David B. Harms, Curtis L. Mo
Practice Area:
Corporate & Securities, Litigation
Published:
Nov 2006
i
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ISBN:
140240820X
PLI Item #:
9151
CHB Spine #:
B1570, B1571
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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. Securities and Exchange Commission Proposed Rule: Internet Availability of Proxy Materials, 17 CFR Parts 240, 249, and 274, December 15, 2005
Chapter 2. Current Disclosure Issues
Chapter 3. SEC Releases Details of Executive Compensation and Related-Party Disclosure Rules
Chapter 4. Top 10 Executive Compensation Disclosure To-Dos
Chapter 5. Restating the Financials—Questions to Ask When Your Client Thinks a Restatement May Be Necessary
Chapter 6. Speech by SEC Staff: “Principles Matter,” Remarks Before the PLI Institute, Executive Compensation Program, by John W. White, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission, September 6, 2006
Chapter 7. Speech by SEC Staff: “The Principles Matter: Options Disclosure,” by John W. White, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission, September 11, 2006
Chapter 8. Client Memorandum: Key Considerations in a Restatement & Internal Control Crisis
Chapter 9. Internal Control Over Financial Reporting
Chapter 10. Press Release: SEC Moves Forward on Sarbanes-Oxley 404 Improvements, July 11, 2006
Chapter 11. Press Release: Statements of SEC Acting Chief Accountant Scott TAUB and Corporation Finance Division Director John White Regarding New COSO Guidance on Section 404 Compliance, July 11, 2006
Chapter 12. SEC Speech Staff: “Section 404: The Need for Input,” Remarks Before the SEC Institute 21st Annual Mid-Year SEC Reporting Forum, by John W. White, Director, Division of Corporation Finance, U.S. Securities and Exchange Commission, May 25, 2006
Chapter 13. Remarks at the 25th Annual SEC and Financial Reporting Institute Conference in Pasadena, California, by Thomas Ray, Chief Auditor and Director of Professional Standards, PCAOB, June 8, 2006
Chapter 14. Internal Control Over Financial Reporting–Guidance for Smaller Public Companies: Executive Summary
Chapter 15. Corporate Governance: Managing the Relationship with Outside Auditors
Chapter 16. Stock Option Backdating—What Boards Should Consider
Chapter 17. Directors in Crisis
Chapter 18. SEC Adopts Major Overhaul of Executive Compensation Disclosure
Chapter 19. Current Accounting and Disclosure Issues in the Division of Corporation Finance, December 1, 2005, Prepared by Accounting Staff Members in the Division of Corporation Finance, U.S. Securities and Exchange Commission
Chapter 20. PCAOB Release: Board Proposes Rules for Periodic Reporting by Registered Accounting Firms, May 23, 2006
Chapter 21. SEC Staff Speech: Opening Statement at 2005 AICPA National Conference on Current SEC and PCAOB Developments by Brian K. Roberson, Professional Accounting Fellow, Office of Chief Accountant, U.S. Securities and Exchange Commission, December 5, 2005
Chapter 22. PCAOB: Staff Audit Practice Alert No. 1: Matters Related to Timing and Accounting for Option Grants, July 28, 2006
Chapter 23. Speech by SEC Staff: Remarks Before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Russell P. Hodge, Professional Accounting Fellow, Office of Chief Accountant, U.S. Securities and Exchange Commission, December 6, 2004
Chapter 24. Final Report of the Advisory Committee on Smaller Public Companies: To the United States Securities and Exchange Commission, April 23, 2006
Chapter 25. PCAOB: Staff Questions and Answers: Adjustments to Prior-Period Financial Statements Audited by a Predecessor Auditor, June 9, 2006
Chapter 26. Coping with the 11th Hour Discovery of a Financial Reporting Error
Chapter 27. Spotlight On: Interactive Data and XBRL Initiatives, August 22, 2006
Chapter 28. Speech by SEC Chairman: The Interactive Data Revolution: Improved Disclosure for Investors, Less Expensive Reporting for Companies, by Chairman Christopher Cox, SEC, American Enterprise Institute, Washington, D.C., May 30, 2006
Chapter 29. Interactive Data: Putting Technology to Work for American Investors
Chapter 30. Press Release: Commission Announces Roundtable Series on Giving Investors and Analysts Better Financial Data Via Internet, March 9, 2006
Chapter 31. Ethics Resources for Securities Lawyers
Chapter 32. “No Choice: It’s Time to Reverse the DOJ’s ‘Principles of Federal Prosecution of Business Organizations,’” The Deal, August 7, 2006
Chapter 33. Written Testimony, United States Senate Committee on the Judiciary, “The Thompson Memorandum’s Effect on the Right to Counsel in Corporate Investigations,” September 12, 2006
Chapter 34. Remarks of Ben W. Heineman, Jr. at the Yale Global Governance Forum, “Strategy: The Board’s Role and Responsibility,” September 8, 2005, New Haven, Connecticut
Chapter 35. The New Securities Offering Regime
Chapter 36. When Time of Sale Disclosure Turns Out to be Wrong: Reforming the Securities Sale Contract
Chapter 37. Small Public Company Relief
Chapter 38. The Private Placement Alternative to a Public Offering
Chapter 39. Financing Alternatives for Public Companies
Chapter 40. Integration of Private and Public Offerings Update
Chapter 41. Majority Voting in Director Elections: A Look Back and a Look Ahead
Chapter 42. Recent Developments in Delaware Corporate Law
Chapter 43. Takeover Law and Practice 2006
Chapter 44. Hedge Fund Activism
Chapter 45. “Empty Voting” and Other Fault Lines Undermining Shareholder Democracy: The New Hunting Ground for Hedge Funds
Chapter 46. “An Approach to Resolving Regulatory Conflicts Between the US and Europe,” Speech Delivered November 17, 2005 at Fordham Law School
Chapter 47. SEC Release: Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Foreign Private Issuers that are Accelerated Filers, Nos. 33-8730A; 34-54294A; File No. S7-06-03, Dated August 9, 2006
Chapter 48. SEC Press Release: SEC Office of International Affairs and Divisions of Market Regulation and Corporation Finance Release Fact Sheet, Dated June 16, 2006
Chapter 49. SEC Press Release: SEC and CESR Launch Work Plan Focused on Financial Reporting, Dated August 2, 2006
Chapter 50. The SEC’s Approach to Corporate Penalties: Analyzing the January 4, 2006 SEC Statement Concerning Financial Penalties for Corporations
Chapter 51. Recent SEC Enforcement Cases
Chapter 52. United States of America v. Jeffrey Stein, et. al., United States District Court, Southern District of New York, S1 05 Crim. 0888(LAK), July 25, 2006, Opinion and Order
Chapter 53. KPMG–Deferred Prosecution Agreement Dated August 26, 2005
Chapter 54. U.S. Department of Justice, Principles of Federal Prosecution of Business Organizations, from Larry D. Thompson, Deputy Attorney General, January 20, 2003
Chapter 55. U.S. Department of Justice, Wavier of Corporate Attorney-Client and Work Product Protection, from Robert D. Mccallum, Jr., Acting Deputy Attorney General, Dated October 21, 2005
Chapter 56. Amendments to the Sentencing Guidelines, May 18, 2006
Chapter 57. American Bar Association Task Force on Attorney-Client Privilege Report to House of Delegates, Dated August, 2006
Chapter 58. United States of America v. J. Kenneth Stringer, et al., United States District Court for the District of Oregon, CR 03-432-HA, Opinion and Order, January 9, 2006
Chapter 59. United States of America v. Brown, Bayly, Furst, Fuhs, In the United States Court of Appeals for the Fifth Circuit, No. 05-20319, Appeals from the United States District for the Southern District of Texas, Opinion Dated August 1, 2006
Chapter 60. SEC Enforcement Trends
Chapter 61. Conducting Internal Corporate Investigations
Chapter 62. The First 72 Hours of a Government Investigation: A Guide to Identifying Issues and Avoiding Mistakes
Chapter 63. Conducting Internal Investigations
Chapter 64. Recent Developments in the Securities Law Concerning Loss Causation
Chapter 65. The Evolution of “Scheme” Liability Under Section 10(b)
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