| 目錄 |
| VOLUME ONE | |
| 1. | Integration of Private and Public Offerings Update / Stanley Keller | 1-137 |
| 2. | Edwards Wildman Client Advisory: SEC Adopts Rules on General Solicitation that Fundamentally Change Private Capital Raising and Proposes Further Revisions, July 2013 / Submitted by: Stanley Keller | 1-191 |
| 3. | General Solicitation: What Congress Giveth, the SEC Proposes to Taketh Away / Stanley Keller | 1-199 |
| 4. | Alternatives to Registration Chart / Stanley Keller, Jean E. Harris, Richard M. Leisner | 1-211 |
| 5. | SEC Press Release: SEC Approves JOBS Act Requirement to Lift General Solicitation Ban, July 10, 2013 | 1-217 |
| 6. | SEC Fact Sheet: Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings, SEC Open Meeting, July 10, 2013 | 1-221 |
| 7. | SEC Fact Sheet: Proposing Amendments to Private Offering Rules, SEC Open Meeting, July 10, 2013 | 1-227 |
| 8. | SEC Fact Sheet: Disqualification of Felons and Other Bad Actors from Rule 506 Offerings, SEC Open Meeting, July 10, 2013 | 1-235 |
| 9. | SEC FAQs on Conflict Minerals, May 30, 2013 | 1-241 |
| 10. | Section 13(r) CDIs Exchange Act CDIs 147.01 Through 147.07 / Submitted by: Keith F. Higgins | 1-249 |
| 11. | Social Media and Regulation FD / Meredith B. Cross, Ian C. Wildgoose Brown, Jennifer A. Zepralka | 1-255 |
| 12. | Social Media and Regulation FD in a Post Netflix World / Catherine T. Dixon | 1-275 |
| 13. | SEC Declines Enforcement Action in Netflix REG FD Matter and Issues Social Media Guidance / Submitted by: Steven E. Bochner | 1-293 |
| 14. | CalSTRS Corporate Governance 2013 Annual Report, Spring, 2013 / Submitted by: John W. White | 1-297 |
| 15. | Viewpoints for the Audit Committee Leadership Summit, Board Shareholder Engagement, Issue 21: 2 May 2013 / Submitted by: John W. White | 1-331 |
| 16. | Equilar Outlook on 2013 Say on Pay Responses / Submitted by: John W. White | 1-349 |
| 17. | Semler Brossy, 2013 Say on Pay Results, Russell 3000, July 31, 2013 / Submitted by: John W. White | 1-357 |
| 18. | The Conference Board, Proxy Voting Fact Sheet, July 2013 / Submitted by: John W. White | 1-373 |
| 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" / Submitted by: John W. White | 1-431 |
| 20. | TIAA CREF Policy Statement on Corporate Governance, 6th Edition / Submitted by: Stephen L. Brown | 1-537 |
| 21. | 2013 Proxy Season Review, United States / Submitted by: Gary Retelny | 1-567 |
| 22. | Prepared Remarks of U.S. Attorney Preet Bharara, Citizens Crime Commission, The Cyber Threat: Are Government and Industry 'Outgunned'?, April 16, 2012 / Submitted by: Richard H. Walker | 1-625 |
| 23. | Kaye Scholer White Collar/FCPA Alert: SEC and DOJ Reward Ralph Lauren for Self Reporting FCPA Violations, April 23, 2013 / Submitted by: Richard H. Walker | 1-639 |
| 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 / Submitted by: Richard H. Walker | 1-645 |
| 25. | Sidley Austin LLP FCPA Update: DOJ & SEC Release Long Anticipated FCPA Guide, November 15, 2012 / Submitted by: Richard H. Walker | 1-659 |
| 26. | Gibson Dunn 2012 Year End FCPA Update, January 2, 2013 / Submitted by: Richard H. Walker | 1-665 |
| 27. | Managing a Corporate Crisis: The Ten Commandments of Crisis Management / John F. Savarese, Submitted by: Richard H. Walker | 1-699 |
| 28. | Pearl Meyer & Partners, Trends and Issues, Say on Pay Game Plan: A Best Practice Processfor Overcoming a Negative Vote / Submitted by: Richard H. Walker | 1-729 |
| 29. | Sullivan & Cromwell LLP Memorandum, Say on Pay Review of 2012 Proxy Season Results, July 17, 2012 / Submitted by: Richard H. Walker | 1-739 |
| 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, Dated January 28, 2013 / Submitted by: Bradley E. Lerman | 1-757 |
| 31. | U.S. Cybersecurity s Path from Legislative Debate to Executive Action, Corporate Counsel, August 9, 2012 / Submitted by: Bradley E. Lerman | 1-767 |
| 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 / Submitted by: Louise M. Parent | 1-775 |
| 33. | Debevoise & Plimpton LLP FCPA Update, Spotlight on Latin America: Overview, March 2013, Vol. 4, No. 8 / Submitted by: Louise M. Parent | 1-803 |
| 34. | Debevoise & Plimpton LLP FCPA Update, Spotlight on Southeast Asia, June 2013, Vol. 4, No. 11 / / Submitted by: Louise M. Parent | 1-825 |
| 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 / Submitted by: Louise M. Parent | 1-841 |
| 36. | Sullivan & Cromwell LLP Memorandum, Adjusting to Shareholder Activism, August 22, 2013 / Submitted by: Gloria Santona | 1-855 |
| 37. | The Evolving Responsibilities of Audit Committees, August 2013 / Linda L. Griggs | 1-867 |
| 38. | The SEC s Renewed Interest in Accounting Cases A New Beginning, or a Victim of Fait? September 2013 / Linda L. Griggs, John J. Huber, Christian J. Mixter | 1-889 |
| 39. | Current FASB Projects that May Affect Lawyers, August 2013 / Linda L. Griggs | 1-927 |
| 40. | PCAOB Release No. 2013 005, August 13, 2013, Proposed Auditing Standards / Submitted by: James R. Doty | 1-955 |
| 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 / Submitted by: James R. Doty | 1-1119 |
| 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 / James R. Doty | 1-1165 |
| 43. | PCAOB Initiatives Affecting the Work of the Audit Committee / Daniel L. Goelzer | 1-1183 |
| 44. | Measuring Audit Quality, Remarks by Daniel L. Goelzer at the American Bar Association Business Law Section 2013 Spring Meeting, April 4, 2013 / Daniel L. Goelzer | 1-1217 |
| 45. | Audit Committee Agenda: Discussion of the Auditor s PCAOB Inspection Report / Daniel L. Goelzer | 1-1229 |
| VOLUME TWO | |
| 46. | Morrison & Foerster Client Alert: CFTC Adopts Substituted Compliance Approach for Registered Investment Companies That Are Commodity Pools, August 14, 2013 / Kelley A. Howes, Jay G. Baris | 2-41 |
| 47. | Morrison & Foerster Client Alert: Insider Trading in Mutual Funds: Do Traditional Theories Apply?, August 8, 2013 / Jay G. Baris, Kelley A. Howes, Daniel A. Nathan | 2-49 |
| 48. | Morrison & Foerster Client Alert: Goldilocks, Porridge and General Solicitation, July 10, 2013 / Jay G. Baris, David M. Lynn, Anna T. Pinedo | 2-57 |
| 49. | Structured Products: Investment Company Act and Investment Advisers Act Considerations, the Review of Securities & Commodities Regulation, Vol. 46, No. 7, April 3, 2013 / Anna T. Pinedo, Jay G. Baris | 2-65 |
| 50. | Morrison & Foerster Socially Aware: Private Funds on Social Media Proceed with Caution, July 15, 2013 / Jay G. Baris | 2-77 |
| 51. | Schulte Roth & Zabel Alert: The SEC s JOBS Act Rulemaking: What It Means for Private Fund Managers, July 24, 2013 / Brad L. Caswell, Brian T. Daly, Marc E. Elovitz, Jacob Preiserowicz, Paul N. Roth | 2-83 |
| 52. | Stradley Ronon Fund Alert, Money Market Fund Reform: SEC Proposes Fundamental Reform and Other Significant Rule Amendments, July 2013 / Joan Ohlbaum Swirsky, Submitted by: Allison M. Fuller | 2-95 |
| 53. | Skadden Memorandum: CFTC Issues Final Guidance and Accompanying Exemptive Order on Cross Border Application of Certain Swap Regulations, July 31, 2013 / Submitted by: Brian V. Breheny | 2-137 |
| 54. | Skadden Securities Regulation and Compliance Alert: SEC Resources Extraction Issuer Disclosure Rules Vacated, July 3, 2013 / Submitted by: Brian V. Breheny | 2-159 |
| 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 / Submitted by: Brian V. Breheny | 2-165 |
| 56. | Skadden Securities Regulation and Compliance Alert: SEC Staff Issues Conflict Minerals & Resource Extraction Payments Disclosure Guidance, June 3, 2013 / Submitted by: Brian V. Breheny | 2-173 |
| 57. | Skadden Securities Regulation and Compliance Alert: Getting Back to Basics with Rule 10b5 1 Trading Plans, April 9, 2013 / Submitted by: Brian V. Breheny | 2-179 |
| 58. | Skadden Corporate Finance Alert: Tweet This! SEC Addresses Application of Regulation FD to Social Media, April 3, 2013 / Submitted by: Brian V. Breheny | 2-185 |
| 59. | Skadden Securities Regulation and Compliance Alert: Guidance on New Iran Related Disclosure Requirements, February 7, 2013 / Submitted by: Brian V. Breheny | 2-191 |
| 60. | Recommendations of the Investor Advisory Committee Regarding SEC Rulemaking to Explore Universal Proxy Ballots (Adopted July 25, 2013) / Submitted by: Brian V. Breheny | 2-195 |
| 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) / Submitted by: Brian V. Breheny | 2-203 |
| 62. | Committee on Disclosure of Corporate Political Spending Petition for Rulemaking, August 3, 2011 / Submitted by: Brian V. Breheny | 2-213 |
| 63. | Request for Rulemaking Concerning Amending Rule 10b5 1, December 28, 2012 / Submitted by: Brian V. Breheny | 2-227 |
| 64. | Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934, February 1, 2013 / Submitted by: Brian V. Breheny | 2-235 |
| 65. | Shareholder Demands for Corporate Political Disclosure / Keir D. Gumbs | 2-249 |
| 66. | Covington Advisory/Securities: D.C. District Court Upholds SEC s Conflict Minerals Rule, July 24, 2013 / Submitted by: Keir D. Gumbs | 2-259 |
| 67. | Covington Advisory/Securities: D.C. District Court Vacates SEC s Resource Extraction Payment Rule, July 3, 2013 / Submitted by: Keir D. Gumbs | 2-265 |
| 68. | Covington Advisory/Securities: Required Communications Between Auditors and Audit Committees, January 29, 2013 / Submitted by: Keir D. Gumbs | 2-273 |
| 69. | Covington Advisory/Securities: SEC Staff Issues Conflict Minerals FAQs, May 31, 2013 / Submitted by: Keir D. Gumbs | 2-283 |
| 70. | Covington E Alert/Election and Political Law, Securities Law STOCK Act Opens Up New Front for Insider Trading Cases, May 16, 2013 / Submitted by: Keir D. Gumbs | 2-291 |
| 71. | Covington E Alert: Securities SEC Endorses Social Media as Public Disclosure Channel, April 3, 2013 / Submitted by: Keir D. Gumbs | 2-297 |
| 72. | Rule 10b5 1 Trading Plans: Avoiding the Heat, Securities Regulation & Law Report, 45 SRLR 438, 3/11/2013 / David B. H. Martin, Keir D. Gumbs, David L. Kornblau, Matthew C. Franker, Stephanie W. Bignon | 2-303 |
| 73. | Pay Definitions: What Works Best in Pay for Performance Analysis, November 2012 / Robin Ferracone, Jack Zwingli | 2-313 |
| 74. | Performance Metrics and Their Link to Value, Summary Report, January 2013 / Submitted by: Robin Ferracone | 2-345 |
| 75. | Achieving Positive Outcomes, NACD Directorship September/October 2012 / Submitted by: Robin Ferracone | 2-365 |
| 76. | The Continuing Validity of the Mosaic Theory as a Viable Defense to Insider Trading, August 30, 2013 / Carmen J. Lawrence, Nicole R. Love | 2-373 |
| 77. | Outline of Selected SEC Enforcement Actions, May 2013 / Submitted by: Robert S Khuzami | 2-403 |
| 78. | SEC Press Release: SEC Announces Whistleblower Action, June 12, 2013 / Submitted by: Robert S Khuzami | 2-445 |
| 79. | SEC v. Falcone Et. Al., 12 CIV. 5027 and 5028 (PAC) ECF Case, (S.D.N.Y), Final Consent Judgment as to Defendants Philip A. Falcone; Harbinger Capital Partners LLC; Harbinger Capital Partners Offshore Manager, L.L.C.;and Harbinger Capital Partners SpecialSituations GP, L.L.C. / Submitted by: Robert S Khuzami | 2-449 |
| 80. | David Woodcock and Margaret McGuire, SEC Financial Reporting and Audit Task Force, the Trusted Professional, August 21, 2013 / Submitted by: Robert S Khuzami | 2-477 |
| 81. | SEC Press Release: SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis, July 2, 2013 / Submitted by: Robert S Khuzami | 2-483 |
| 82. | Morrison & Foerster Client Alert: Inside Baseball—SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em, June 19, 2013 / Submitted by: Robert S Khuzami | 2-489 |
| 83. | Defending Against the Government / Herbert F. Janick, III, Ike Adams, Nicole M. Brown | 2-497 |
| 84. | Juggling Criminal, Civil and Multinational Investigations / Bruce E. Yannett, Erich O. Grosz | 2-519 |
| 85. | Articles Prepared for the Spring 2013 Edition of Bernstein Litowitz Berger & Grossman’s Newsletter, the Advocate for Institutional Investors / Submitted by: Max W. Berger | 2-559 |
| 86. | “Known Trends and Uncertainties”: Disclosure Obligations in Management’s Discussion and Analysis Under Item 303 of Regulation S-K / Submitted by: Charles S. Duggan | 2-569 |
| 87. | The Impact of Recent Supreme Court Decisions on Rule 23(b)(3)’s Predominance Requirement / Jonathan K. Youngwood, Nihara K. Choudhri, Kelly A. Hodges | 2-603 |
| 88. | Current Thoughts About Activism / Martin Lipton, Steven A. Rosenblum, Sebastian V. Niles | 2-623 |
| 89. | Mergers and Acquisitions—2013 / Andrew R. Brownstein, Steven A. Rosenblum, Adam O. Emmerich, Mark Gordon, Gordon S. Moodie, Eitan Hoenig | 2-631 |
| 90. | Recent Decisions of Delaware Courts / Mark J. Gentile | 2-641 |
| 91. | Not Your Father’s Ethics Environment—Is There Increased Scrutiny of Lawyers? What Is the Truth and What Are the Consequences? / Giovanni Prezioso | 2-827 |
| 92. | Update on the SEC’s Lawyer Disciplinary Program / Dixie L. Johnson, David D. Whipple | 2-925 |
| 93. | Frequency of 102(e) Cases (By Six-Month Period) / Submitted by: Dixie L. Johnson | 2-933 |
| 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 / Dixie L. Johnson, David D. Whipple | 2-937 |
| 95. | Ethical Dilemmas for Disclosure Lawyers: Summary of Selected SEC Cases Involving Disclosure Lawyers / John F. Olson, Andrew Hirsch, Marc Collier, Taylor Hathaway-Zepeda | 2-949 |
| 96. | Summary of Recent SEC Actions and Private Suits Against Lawyers for Involvement in Capital Raises / John F. Olson | 2-963 |
| 97. | Supplement of Selected Cases Against Lawyers for Involvement in Capital Raises / John F. Olson | 2-979 |
| 98. | Selected Recent Developments in U.S. Securities Laws and Corporate Finance / John F. Olson, Jonathan C. Dickey, Stephen I. Glover, Brian J. Lane, Ronald O. Mueller, Amy L. Goodman, James J. Moloney, Paul J. Collins, Gillian McPhee, Peter W. Wardle, Ari B. Lanin, Elizabeth Ising, Michael Scanlon, David Lee, Andrew Hirsch, Melissa Barshop | 2-985 |
