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Public Company Deskbook: Complying with Federal Governance & Disclosure Requirements (Third Edition)

Author(s): Robert E. Buckholz, Marc R. Trevino, Glen T. Schleyer
Practice Area: Accounting and financial reporting, Auditing, Auditors, Corporate governance, Corporate law, Public companies, Shareholders (Corporate governance)
Published: Nov 2014
Supplement Date: Jun 2021 i Other versions can be found in the Related Items tab.
ISBN: 9781402423154
PLI Item #: 60411
Public Company Deskbook: Complying with Federal Governance & Disclosure Requirements provides expert counsel on how to deal effectively with the overlapping legislative, regulatory and private initiatives to reform public company governance and disclosure practices over the past decade. 

This book provides in-depth practical guidance centered around each of the following areas: Board Structure & Governance; Shareholder Meetings & Activism; Audit Committee, Auditor Policy & Auditor Disclosure; Compensation Committee, Compensation Policy & Compensation Disclosure; Public Company Reporting & Compliance; and Corporate Investigations & Whistleblowing. Included are numerous sample forms, checklists and documents, such as sample committee charters, director and officer questionnaires and annual meeting timelines for both NYSE- and Nasdaq-listed companies. Also addressed are recent SEC guidance on key oversight responsibilities of the audit committee; amendments to the SEC’s auditor independence rule, Rule 2-01 of Regulation S-X; amendments to the SEC’s MD&A requirements proposed in January 2020; and recent Division of Corporation Finance guidance on confidential treatment applications.

Written by three partners with Sullivan & Cromwell LLP, Public Company Deskbook is an indispensable resource for securities practitioners, compliance officers, directors, officers, accountants, auditors, and research analysts, and an important reference for securities regulators.
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Robert E. Buckholz, Jr. is a partner of Sullivan & Cromwell LLP, New York, where he is co-coordinator of the firm’s securities law practice. He has a broad financial and corporate practice, including in the areas of public and private securities offerings, equity derivatives, corporate governance, and broker-dealer regulation. Mr. Buckholz has been a speaker for numerous organizations, including the Practising Law Institute and committees of the New York City and New York State Bar Associations. He currently serves as Chair of the Securities Regulation Committee of the New York City Bar.

Mr. Buckholz graduated from Dartmouth College (B.A., 1976) and Columbia Law School (J.D., 1979). He joined Sullivan & Cromwell LLP in 1980 and has been a partner since 1987.

Marc Treviño is the head of Sullivan & Cromwell’s corporate governance practice and the managing partner of its executive compensation group.  He joined the Firm in 1993 after graduating from Yale Law School (J.D., 1993) and summa cum laude from Princeton University (A.B., 1990).

Mr. Treviño has been recognized as a leader in structuring and counseling senior executives and boards in significant matters involving reputation, overlapping regulatory regimes, fiduciary conflicts and multiple jurisdictions, with a particular emphasis on matters involving financial institutions.  Mr. Treviño teaches Corporate Crisis Management at the Yale Law School and is a co-author of The Public Company Deskbook (The Practising Law Institute), which has been hailed as “the bible for securities lawyers” by Fortune.

Mr. Treviño also lectures and writes extensively, and is often quoted with respect to corporate governance and compensation matters, including for the American Bar Association, Bank Directors Magazine, The Corporate Counsel, The Corporate Governance Advisor, and Wall Street Journal.  He is also on the Advisory Board for the Harvard Law School Program on Corporate Governance.


Glen T. Schleyer, a partner in Sullivan & Cromwell’s Corporate & Finance Group, advises numerous corporate clients on ongoing public company matters, including SEC reporting, executive compensation, corporate governance, regulatory compliance, and managing shareholder relations and shareholder proposals, as well as a variety of registered and unregistered securities offerings.