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Securities Regulation Institute (45th Annual)
Chair(s):
Alan L. Beller, David M. Lynn, Colleen P. Mahoney
Practice Area:
Corporate & Securities
Published:
Nov 2013
i
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ISBN:
9781402421099
PLI Item #:
43220
CHB Spine #:
B2062, B2063
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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. Integration of Private and Public Offerings Update
Chapter 2. Edwards Wildman Client Advisory: SEC Adopts Rules on General Solicitation that Fundamentally Change Private Capital Raising and Proposes Further Revisions, July 2013
Chapter 3. General Solicitation: What Congress Giveth, the SEC Proposes to Taketh Away
Chapter 4. Alternatives to Registration Chart
Chapter 5. SEC Press Release: SEC Approves JOBS Act Requirement to Lift General Solicitation Ban, July 10, 2013
Chapter 6. SEC Fact Sheet: Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings, SEC Open Meeting, July 10, 2013
Chapter 7. SEC Fact Sheet: Proposing Amendments to Private Offering Rules, SEC Open Meeting, July 10, 2013
Chapter 8. SEC Fact Sheet: Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings, SEC Open Meeting, July 10, 2013
Chapter 9. SEC FAQs on Conflict Minerals, May 30, 2013
Chapter 10. Section 13(r) CDIs—Exchange Act CDIs 147.01 Through 147.07
Chapter 11. Social Media and Regulation FD
Chapter 12. Social Media and Regulation FD in a Post-Netflix World
Chapter 13. SEC Declines Enforcement Action in Netflix REG FD Matter and Issues Social Media Guidance
Chapter 14. CalSTRS Corporate Governance 2013 Annual Report, Spring, 2013
Chapter 15. Viewpoints for the Audit Committee Leadership Summit, Board-Shareholder Engagement, Issue 21: 2 May 2013
Chapter 16. Equilar Outlook on 2013 Say on Pay Responses
Chapter 17. Semler Brossy, 2013 Say on Pay Results, Russell 3000, July 31, 2013
Chapter 18. The Conference Board, Proxy Voting Fact Sheet, July 2013
Chapter 19. United States House of Representatives, Committee on Financial Services, Subcommittee on Capital Markets, June 5, 2013 Hearing on “Examining the Market Power and Impact of Proxy Advisory Firms”
Chapter 20. TIAA-CREF Policy Statement on Corporate Governance, 6th Edition
Chapter 21. 2013 Proxy Season Review, United States
Chapter 22. Prepared Remarks of U.S. Attorney Preet Bharara, Citizens Crime Commission, The Cyber Threat: Are Government and Industry ‘Outgunned’?, April 16, 2012
Chapter 23. Kaye Scholer White Collar/FCPA Alert: SEC and DOJ Reward Ralph Lauren for Self-Reporting FCPA Violations, April 23, 2013
Chapter 24. Sidley Austin LLP FCPA Update: The Top Ten Take-Aways from the DOJ and SEC Resource Guide to the U. S. Foreign Corrupt Practices Act, November 30, 2012
Chapter 25. Sidley Austin LLP FCPA Update: DOJ & SEC Release Long Anticipated FCPA Guide, November 15, 2012
Chapter 26. Gibson Dunn 2012 Year-End FCPA Update, January 2, 2013
Chapter 27. Managing a Corporate Crisis: The Ten Commandments of Crisis Management
Chapter 28. Pearl Meyer & Partners, Trends and Issues, Say on Pay Game Plan: A Best Practice Processfor Overcoming a Negative Vote
Chapter 29. Sullivan & Cromwell LLP Memorandum, Say-on-Pay—Review of 2012 Proxy Season Results, July 17, 2012
Chapter 30. Memorandum from Majority Staff, Committee on Commerce, Science, and Transportation, to Senator Rockefeller, Chairman of the Committee on Commerce, Science, and Transportation, Re: Summary of the Feedback on Cybersecurity from “Fortune 500” Companies
Chapter 31. U.S. Cybersecurity’s Path from Legislative Debate to Executive Action, Corporate Counsel, August 9, 2012
Chapter 32. Debevoise & Plimpton LLP FCPA Update, the FCPA in 2012: Release of the Government’s Guidance Caps a Year of Disparate Developments, January 2013, Vol. 4, No. 6
Chapter 33. Debevoise & Plimpton LLP FCPA Update, Spotlight on Latin America: Overview, March 2013, Vol. 4, No. 8
Chapter 34. Debevoise & Plimpton LLP FCPA Update, Spotlight on Southeast Asia, June 2013, Vol. 4, No. 11
Chapter 35. Debevoise & Plimpton LLP FCPA Update, the Total S.A. Action: Are Administrative Orders the SEC’s FCPA Resolution of Choice for the Future?, July 2013, Vol. 4, No. 12
Chapter 36. Sullivan & Cromwell LLP Memorandum, Adjusting to Shareholder Activism, August 22, 2013
Chapter 37. The Evolving Responsibilities of Audit Committees, August 2013
Chapter 38. The SEC’s Renewed Interest in Accounting Cases—A New Beginning, or a Victim of Fait? September 2013
Chapter 39. Current FASB Projects that May Affect Lawyers, August 2013
Chapter 40. PCAOB Release No. 2013-005, August 13, 2013, Proposed Auditing Standards
Chapter 41. Second Report on the Progress of the Interim Inspection Program Related to Audits of Brokers and Dealers, PCAOB Release No. 2013-006, August 19, 2013
Chapter 42. Aileen Beattie Memorial Address on the Role of the Audit in the Global Economy, Institute of Chartered Accountants of Scotland Stationers’ Hall, Ave Maria Lane, London, England, by James R. Doty, Chairman, Public Accounting Oversight Board, April 18, 2013
Chapter 43. PCAOB Initiatives Affecting the Work of the Audit Committee
Chapter 44. Measuring Audit Quality, Remarks by Daniel L. Goelzer at the American Bar Association Business Law Section 2013 Spring Meeting, April 4, 2013
Chapter 45. Audit Committee Agenda: Discussion of the Auditor’s PCAOB Inspection Report
Chapter 46. Morrison & Foerster Client Alert: CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies That Are Commodity Pools, August 14, 2013
Chapter 47. Morrison & Foerster Client Alert: Insider Trading in Mutual Funds: Do Traditional Theories Apply?, August 8, 2013
Chapter 48. Morrison & Foerster Client Alert: Goldilocks, Porridge and General Solicitation, July 10, 2013
Chapter 49. 49. Structured Products: Investment Company Act and Investment Advisers Act Considerations, the Review of Securities & Commodities Regulation, Vol. 46, No. 7, April 3, 2013
Chapter 50. Morrison & Foerster Socially Aware: Private Funds on Social Media—Proceed with Caution, July 15, 2013
Chapter 51. Schulte Roth & Zabel Alert: The SEC’s JOBS Act Rulemaking: What It Means for Private Fund Managers, July 24, 2013
Chapter 52. Stradley Ronon Fund Alert, Money Market Fund Reform: SEC Proposes Fundamental Reform and Other Significant Rule Amendments, July 2013
Chapter 53. Skadden Memorandum: CFTC Issues Final Guidance and Accompanying Exemptive Order on Cross-Border Application of Certain Swap Regulations, July 31, 2013
Chapter 54. Skadden Securities Regulation and Compliance Alert: SEC Resources Extraction Issuer Disclosure Rules Vacated, July 3, 2013
Chapter 55. Skadden Executive Compensation and Benefits Alert: Skadden’s Proxy Watch: Latest 2013 Say-On-Pay Trends and a Proxy Litigation Update, July 23, 2013
Chapter 56. Skadden Securities Regulation and Compliance Alert: SEC Staff Issues Conflict Minerals & Resource Extraction Payments Disclosure Guidance, June 3, 2013
Chapter 57. Skadden Securities Regulation and Compliance Alert: Getting Back to Basics with Rule 10b5-1 Trading Plans, April 9, 2013
Chapter 58. Skadden Corporate Finance Alert: Tweet This! SEC Addresses Application of Regulation FD to Social Media, April 3, 2013
Chapter 59. Skadden Securities Regulation and Compliance Alert: Guidance on New Iran-Related Disclosure Requirements, February 7, 2013
Chapter 60. Recommendations of the Investor Advisory Committee Regarding SEC Rulemaking to Explore Universal Proxy Ballots (Adopted July 25, 2013)
Chapter 61. Recommendations of the Investor Advisory Committee Regarding SEC and the Need for the Cost Effective Retrieval of Information by Investors (Adopted July 25, 2013)
Chapter 62. Committee on Disclosure of Corporate Political Spending Petition for Rulemaking, August 3, 2011
Chapter 63. Request for Rulemaking Concerning Amending Rule 10b5-1, December 28, 2012
Chapter 64. Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934, February 1, 2013
Chapter 65. Shareholder Demands for Corporate Political Disclosure
Chapter 66. Covington Advisory/Securities: D.C. District Court Upholds SEC’s Conflict Minerals Rule, July 24, 2013
Chapter 67. Covington Advisory/Securities: D.C. District Court Vacates SEC’s Resource Extraction Payment Rule, July 3, 2013
Chapter 68. Covington Advisory/Securities: Required Communications Between Auditors and Audit Committees, January 29, 2013
Chapter 69. Covington Advisory/Securities: SEC Staff Issues Conflict Minerals FAQs, May 31, 2013
Chapter 70. Covington E-Alert/Election and Political Law, Securities Law—STOCK Act Opens Up New Front for Insider Trading Cases, May 16, 2013
Chapter 71. Covington E-Alert: Securities—SEC Endorses Social Media as Public Disclosure Channel, April 3, 2013
Chapter 72. Rule 10b5-1 Trading Plans: Avoiding the Heat, Securities Regulation & Law Report, 45 SRLR 438, 3/11/2013
Chapter 73. Pay Definitions: What Works Best in Pay for Performance Analysis, November 2012
Chapter 74. Performance Metrics and Their Link to Value, Summary Report, January 2013
Chapter 75. Achieving Positive Outcomes, NACD Directorship September/October 2012
Chapter 76. The Continuing Validity of the Mosaic Theory as a Viable Defense to Insider Trading, August 30, 2013
Chapter 77. Outline of Selected SEC Enforcement Actions, May 2013
Chapter 78. SEC Press Release: SEC Announces Whistleblower Action, June 12, 2013
Chapter 79. SEC v. Falcone et al., 12 CIV. 5027 and 5028 (PAC) ECF Case, (S.D.N.Y), Final Consent Judgment
Chapter 80. David Woodcock and Margaret McGuire, SEC Financial Reporting and Audit Task Force, the Trusted Professional, August 21, 2013
Chapter 81. SEC Press Release: SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis, July 2, 2013
Chapter 82. Morrison & Foerster Client Alert: Inside Baseball—SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em, June 19, 2013
Chapter 83. Defending Against the Government
Chapter 84. Juggling Criminal, Civil and Multinational Investigations
Chapter 85. Articles Prepared for the Spring 2013 Edition of Bernstein Litowitz Berger & Grossman’s Newsletter, the Advocate for Institutional Investors
Chapter 86. “Known Trends and Uncertainties”: Disclosure Obligations in Management’s Discussion and Analysis Under Item 303 of Regulation S-K
Chapter 87. The Impact of Recent Supreme Court Decisions on Rule 23(b)(3)’s Predominance Requirement
Chapter 88. Current Thoughts About Activism
Chapter 89. Mergers and Acquisitions—2013
Chapter 90. Recent Decisions of Delaware Courts
Chapter 91. Not Your Father’s Ethics Environment—Is There Increased Scrutiny of Lawyers? What Is the Truth and What Are the Consequences?
Chapter 92. Update on the SEC’s Lawyer Disciplinary Program
Chapter 93. Frequency of 102(e) Cases (By Six-Month Period)
Chapter 94. Zealous Advocacy and Offending the SEC: The SEC’s Lawyer Discipline Program, Insights, the Corporate & Securities Law Advisor, Volume 26, Number 10, October 2012
Chapter 95. Ethical Dilemmas for Disclosure Lawyers: Summary of Selected SEC Cases Involving Disclosure Lawyers
Chapter 96. Summary of Recent SEC Actions and Private Suits Against Lawyers for Involvement in Capital Raises
Chapter 97. Supplement of Selected Cases Against Lawyers for Involvement in Capital Raises
Chapter 98. Selected Recent Developments in U.S. Securities Laws and Corporate Finance
Index
Appendix A. Parallel Proceedings: Cram Sheet
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