| 目錄 |
| | Volume 1 | |
| | Day one | |
| | Financial markets and regulatory overview / Alan L. Beller, David M. Becker, H. Rodgin Cohen, Stephen M. Cutler, George W. Madison, Annette L. Nazareth | 135 |
| | 1. | U.S. Department of the Treasury, financial regulatory reform : a new foundation, executive summary | 139 |
| | 2. | U.S. Department of the Treasury Fact sheets | 149 |
| | 3. | U.S. Department of the Treasury press release, July 24, 2009 : Treasury Secretary Timothy F. Geithner written testimony before the House Financial Services Committee | 221 |
| | 4. | Testimony concerning regulation of systemic risk, Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, before the Committee on Banking, Housing and Urban Affairs, United States Senate, July 23, 2009 | 233 |
| | 5. | Testimony before the United States House of Representatives Committee on Financial Services, "Regulatory perspectives on the Obama Administration's financial regulatory reform proposals," Wednesday, July 22, 2009, by Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission | 243 |
| | 6. | Testimony before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises, "SEC oversight : current state and agenda," Tuesday, July 14, 2009, by Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission | 257 |
| | 7. | Testimony concerning regulation of over-the-counter derivatives, Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing, and Urban Affairs, United States Senate, June 22, 2009 | 275 |
| | 8. | Sullivan & Cromwell LLP : financial services regulation, June 17, 2009 | 297 |
| | 9. | Cleary Gottlieb alert memo : President Obama's financial regulatory reform plan : key issues for market participants | 309 |
| | 10. | Davis Polk, A new foundation for financial regulation? : June 22, 2009 | 317 |
| | 11. | Cleary Gottlieb alert memo : President Obama's financial regulatory reform plan, a closer look | 365 |
| | 12. | Davis Polk client newsflash : Investor Protection Act of 2009 | 393 |
| | 13. | Cleary Gottlieb alert memo : SEC releases proposed disclosure rule changes for compensation program risk, compensation consultant independence and equity-based compensation awards | 399 |
| | 14. | Davis Polk : The regulatory reform marathon, July 28, 2009 | 419 |
| | 15. | Sullivan & Cromwell : Treasury OTFC derivatives legislative proposal, August 17, 2009 | 455 |
| | 16. | Cleary Gottlieb alert memo : Obama Administration's legislative proposal for regulatory reform of over-the-counter derivatives markets | 465 |
| | Capital markets transactions in difficult times | 497 |
| | 17. | Financing alternatives for public companies / Stephen M. Graham | 499 |
| | 18. | Why an exempt offering or a hybrid offering? / Anna T. Pinedo, James R. Tanenbaum | 543 |
| | 19. | ATMs : the other cash machine / Anna T. Pinedo, James R. Tanenbaum | 591 |
| | 20. | Capital markets / Anna T. Pinedo, James R. Tanenbaum | 595 |
| | 21. | Change in the air? U.S. Securities and Exchange Commission's recent rule revisions / Anna T. Pinedo, James R. Tanenbaum | 599 |
| | 22. | Frequently asked questions about PIPEs / Anna T. Pinedo, James R. Tanenbaum | 605 |
| | 23. | Frequently asked questions about registered direct offerings / Anna T. Pinedo, James R. Tanenbaum | 621 |
| | 24. | Over the wall and through the woods : a look at wall-crossed deals / Anna T. Pinedo, James R. Tanenbaum | 629 |
| | 25. | Over the worst of it : the US courts have reached the wrong conclusions in recent PIPE cases; the SEC has been unable to help them / Anna T. Pinedo, James R. Tanenbaum | 635 |
| | 26. | PIPEs 2007 : the status quo takes a blow / Anna T. Pinedo, James R. Tanenbaum | 641 |
| | 27. | PIPEs and registered directs : back to the future / Anna T. Pinedo, James R. Tanenbaum | 645 |
| | 28. | Rights offerings : right for right now / Anna T. Pinedo, James R. Tanenbaum | 651 |
| | 29. | The offering of choice in 2008 / Anna T. Pinedo, James R. Tanenbaum | 655 |
| | 30. | The short story / Anna T. Pinedo, James R. Tanenbaum | 659 |
| | 31. | When a primary is not a primary : large volumes of PIPE securities now cannot be easily sold on / Anna T. Pinedo, James R. Tanenbaum | 663 |
| | 32. | IPO market update / Michael S. Wishart | 667 |
| | Update from the Division of Corporation Finance | 679 |
| | 33. | Securities and Exchange Commission : 17 CFR parts 200, 232, 240, 249 and 274 [Release nos. 33-9046, 34-60089, IC-28765, file no. S7-10-09] proposed rules : facilitating shareholder director nominations / Meredith B. Cross, Brian V. Breheny, Shelley E. Parratt | 681 |
| | 34. | Securities and Exchange Commission : 17 CFR prt 240 [release no. 34-60218, file no. S7-12-09] proposed rule : shareholder approval of executive compensation of TARP recipients / Meredith B. Cross, Brian V. Breheny, Shelley E. Parratt | 685 |
| | 35. | Securities and Exchange Commission : 17 CFR parts 229, 239, 240,249, 270 and 274 [release nos. 33-9052, 34-60280; IC-28817; file no. S7-13-09] proposed rule : proxy disclosure and solicitation enhancements / Meredith B. Cross, Brian V. Breheny, Shelley E. Parratt | 689 |
| | Handling disclosure issues in the current environment | 693 |
| | 36. | Using webs sites a s a means of public dissemination : the commission guidance / Keith F. Higgins | 695 |
| | 37. | Using corporate websites for regulation FD-compliant disclosure : recommended best practices / Steven E. Bochner, Evan C. Kastner | 705 |
| | 38. | Is your company tweeting towards trouble? : twitter and securities law compliance / Julie Jones, Cynthia McMakin, Keith F. Higgins | 715 |
| | 39. | Anticipating the 2010 MD&A / Catherine T. Dixon | 729 |
| | | Appendix : Important developments in evaluating the materiality of financial errors | 849 |
| | 40. | A leap of faith : jumping into disclosure of accounting issues and thriving / John Huber | 861 |
| | 41. | A new season for environmental risk factors and related disclosures / David B.H. Martin | 979 |
| | Day two | |
| | What's on the minds of general counsels today? | 997 |
| | 42. | Inside counsel in a more perilous world / Brackett B. Denniston, III, Randy Kozel | 999 |
| | 43. | Risk and the Chief Legal Officer : potential exposure / Peter Allan Atkins, Frank Ed Bayouth | 1017 |
| | 44. | Strategies to achieve cost reduction through changes in employment / Lynnette C. Fallon | 1047 |
| | 45. | Key policymaker quotes on executive compensation / Louise M. Parent | 1051 |
| | 46. | House Committee on Financial Services press release, July 16, 2009 : frank statement on executive compensation / Louise M. Parent | 1055 |
| | 47. | House Committee on Financial Services press release, June 31, 2009 : house passes executive compensation reform / Louise M. Parent | 1059 |
| | 48. | Corporate and Financial Institution Compensation Fairness Act of 2009, H.R. 3269, July 31. 2009 / Louise M. Parent | 1063 |
| | 49. | Executive compensation language in Financial regulatory reform, a new foundation : rebuilding financial supervision and regulation / Louise M. Parent | 1085 |
| | 50. | U.S. Department of the Treasury fact sheet : Administrations' regulatory reform agenda moves forward : new independence for compensation committees (see chapter 2 E.) / Louise M. Parent | 1089 |
| | 51. | U.S. Department of the Treasury fact sheet : Administration's regulatory reform agenda moves forward : say-on-pay (see chapter 2 D.) / Louise M. Parent | 1091 |
| | 52. | Senator Charles E. Schumer press release, May 13, 2009 : Schumer, Cantwell announce "Shareholder bill of rights" to impose greater accountability on corporate America / Louise M. Parent | 1093 |
| | 53. | Shareholder Bill of Rights Act of 2009, S. 1074, May 19, 2009 / Louise M. Parent | 1099 |
| | Corporate governance in challenging times | 1113 |
| | 54. | Shareholder Bill of Rights Act of 2009, S. 1074, May 19, 2009 (see chapter 46) / John M. White | 1115 |
| | 55. | Cravath, Swaine & Moore LLP : SEC approves amendment to NYSE rule 452, eliminating broker discretionary voting in uncontested director elections, July 1, 2009 / John M. White | 1117 |
| | 56. | Comment letters to the U.S. Securities and Exchange Commission re : facilitating director nominations (file no. S7-10-09) / John M. White | 1123 |
| | 57. | U.S. Securities and Exchange Commission : speech by SEC Commissioner, "The American corporation and its shareholders : dooryard visits disallowed," by Commissioner Elisse B. Walter, June 27, 2009 / John M. White | 1295 |
| | 58. | Selected recent developments in U.S. securities laws and corporate finance / John F. Olson, Jonathan C. Dickey, Stephen I. Glover | 1305 |
| | Volume 2 | |
| | Spotlight on executive compensation | 21 |
| | 59. | Compensia, Inc. thoughtful pay alert : shareholder advisory votes on executive compensation : a "say on pay" primer / Mark A. Borges | 23 |
| | 60. | Compensia, Inc. thoughtful pay alert : The SEC's new disclosure proposals / Mark A. Borges | 35. |
| | 61. | Compensation best practices overview / Richard C. Ferlauto | 47 |
| | 62. | The Conference Board task force on executive compensation / Richard C. Ferlauto | 57 |
| | Delaware corporate law developments | 81 |
| | 63. | Recent developments in Delaware corporate law / Gregory V. Varallo, Margot F. Alicks | 83 |
| | 64. | Lessons from the meltdown : reverse termination fees, Deal lawyers, vol. 2, no. 6, November-December 2008 / Gregory V. Varallo, Blake Rohrbacher | 169 |
| | 65. | Lessons from the meltdown : MAE clauses, Deal lawyers, vol. 3, no. 1, January-February 2009 / Gregory V. Varallo, Blake Rohrbacher | 179 |
| | 66. | Lessons from the meltdown : Remedies, Deal lawyers, vol. 3, no. 2, March-April 2009 / Gregory V. Varallo, Blake Rohrbacher, Margot Alicks | 189 |
| | 67. | Recent decisions in Delaware corporate law : 2008-09 / David C. McBride | 199 |
| | 68. | "Good faith" under Delaware law : relevance, definition and application / David C. McBride, Kathaleen St. J. McCormick | 303 |
| | 69. | Defining the proper subject matter for a bylaw under Delaware law / William M Lafferty, John P. DiTomo | 337 |
| | 70. | Shareholder ratification finally defined and properly limited / Pamela Tikellis | 467 |
| | M&A practice developments | 479 |
| | 71. | Corporate governance feature : using social media technology in proxy solicitations, The M&A lawyer, May 2009, volum3 13m issue 5 / Marc. R. Packer, Steven E. Bochner | 481 |
| | 72. | 2009 strategic buyer/public target mergers & acquisitions deal points study (for transactions announced in 2008) / Richard E. Climan | 493 |
| | 73. | Takeover law and practice, 2009 / Patricia A. Vlahakis | 607 |
| | Government enforcement rules | |
| | A. | New leadership/new goals : updated from the SEC, DOJ, and New York Office of the Attorney General | 779 |
| | 74. | Outline of recent SEC enforcement actions / Seamus F. Bresnahan, Robert S. Khuzami | 781 |
| | B. | Civil/criminal enforcement and internal investigations | 901 |
| | 75. | Dealing with multiple regulators : reflections on parallel investigations, regulators' differing roles, and issues to consider in representing organization clients / Linda Chatman Thomsen, Dominick D. Barbieri, Mathew S. Miller | 903 |
| | 76. | Davis Polk memos / Linda Chatman Thomsen | 933 |
| | | A. | Obama Administration white paper on financial regulatory reform : executive summary and outline of key proposals, June 17, 2009 | 935 |
| | | B. | Consumer Financial Protection Agency Act of 2009, July 1, 2009 | 945 |
| | | C. | Zacharias v. SEC | 951 |
| | | D. | SEC v. Cuban : a new decision casts doubt on a key SEC position on insider trading | 957 |
| | | E. | SEC v. Dorozhko : the Second Circuit's view of Section 10(B) "deception" | 961 |
| | | F. | SEC charges Perry Capital with disclosure violations in connection with alleged vote buying | 965 |
| | | G. | SEC announces significant enforcement initiatives | 969 |
| | 77. | Conducting internal investigations in the U.S. and abroad / Bruce E. Yannett | 975 |
| | Dealing with private securities litigation | 1009 |
| | 78. | Establishing scienter in securities fraud actions through imputation of knowledge / Bruce D. Angiolillo | 1011 |
| | 79. | Dealing with private securities litigation / Ralph C. Ferrara | 1035 |
| | Accounting developments lawyers must know | 1077 |
| | 80. | Loss contingencies : will companies enhance disclosures in the future? / Linda L. Griggs | 1079 |
| | 81. | National Press Club, speech, Robert H. Herz : History doesn't repeat itself, people repeat history : front-line thoughts and observations on creating a sounder financial system, Jun 26, 2009 / Linda L. Griggs | 1097 |
| | 82. | Recent work of the Public Company Accounting Oversight Board / Daniel L. Goelzer | 1117 |
| | 83. | Financial Accounting Standards Board : current technical plan and projects update / Robert H. Herz | 1137 |
| | 84. | Achieving a single set of global accounting standards / Robert J. Keuppers, D.J. Gannon | 1145 |
| | 85. | FASB amends the consolidation guidance related to variable interest entities, Deloitte Heads up, v. 16, issue 23, Jun 16, 2009 / Robert J. Keuppers | 1159 |
| | 86. | FASB issues new standard on transfers of financial assets, Deloitte Heads up, v. 16, issue 22, Jun 16, 2009 / Robert J. Keuppers | 1177 |
| | Ethics challenges for business lawyers | 1185 |
| | 87. | Hypotheticals / James H. Cheek, III, Cheek, James H. | 1191 |
| | 88. | Selected resources / Barbara S. Gillers | 1197 |
| | 89. | Model rules of professional conduct / James H. Cheek, III, Cheek, James H. | 1217 |
| | 90. | Hypothetical III : ethically changing firms / Arden J. Olson | 1225 |
| | 91. | Improving the chances of a win-win / Michele Coleman Mayes | 1241 |
| | Putting your professional reputation and more on the line | 1247 |
| | 92. | Panel materials : putting your professional reputation and more on the line | |
| | | 1. | Courting the suicide king : closing opinions and lawyer liability / Donald W. Glazer, Jonathan C. Lipson | 1253 |
| | | 2. | Observations on the liability of lawyers to non-clients arising out of the issuance of opinion letters / John K. Villa | 1253 |
| | | 3. | Excerpts from Glazer and Fitzgibbon on legal opinions (Sec. 1.6, Supporting a closing opinion; Liability, and Sec. 1.7, Ethical considerations | 1279 |
| | | 4. | Statement on the role of customary practice in the preparation and understanding of third-party legal opinions | 1305 |
| | | 5. | A streamlined form of closing opinion based on the ABA legal opinion principals / Donald W. Glazer, Stanley Keller | 1311 |
| | | 6. | Excerpt from the supplement to Report of the Legal Opinion Committee of the Business Law Section of the North Carolina Bar Association on third party legal opinions in business transactions (Sec. 14, Statement of no litigation) | 1323 |
| | | 7. | Summary of issues addressed by the ABA Business Law Section Task Force on Delivery of Document Review Reports to Third Parties / James J. Rosenhauer | 1335 |
| | | 8. | ABA Business Law Section Ad Hoc Committee on Audit Responses, report on listserv activity | 1347 |
| | | 9. | ABA Business Law Section Committee on Audit Responses, statement of effect of Fin 48 audit response letters | 1353 |
| | Appendix | |
| | A. | Implications of the Obama White Paper on Financial Regulatory Reform / Richard H. Walker | 1361 |
| | B. | Reforming financial market regulation and supervision : US and EU approaches / Richard H. Walker | 1385 |
