MARC 主機 00000nam 2200000Ii 4500
001 ocn864821522
003 OCoLC
005 20131209093129.0
008 131209s2013 nyuacd b 001 0 eng
020 9781402421099
020 1402421095
035 (OCoLC)864821522
040 CGQ|beng|erda|cSLA|dCGQ|dOCLCO|dPQD|dSLA
043 n-us---
049 SLAA
079 ocn862171943
090 KF1440|b.I525 2013
111 2 Institute on Securities Regulation|n(45th :|d2013 :|cNew
York, N.Y.)
245 10 45th annual Institute on Securities Regulation /|cco-
chairs, Alan L. Beller, David M. Lynn, Colleen P. Mahoney.
246 3 Forty-fifth annual Institute on Securities Regulation.
246 10 Annual Institute on Securities Regulation
264 1 New York, New York :|bPractising Law Institute,|c[2013]
300 2 volumes (1236, 1292 pages) :|billustrations, charts,
portraits ;|c23 cm.
336 text|btxt|2rdacontent
337 unmediated|bn|2rdamedia
338 volume|bnc|2rdacarrier
490 1 Corporate law and practice course handbook series ;
|vnumber B-2062, B-2063
500 "Prepared for distribution at the 45th Annual Institute on
Securities Regulation, New York Hilton, New York City,
November 6-8, 2013, Live Webcast: www.pli.edu" --Page 5.
610 10 United States.|tDodd-Frank Wall Street Reform and Consumer
Protection Act
610 10 United States.|bSecurities and Exchange Commission|xRules
and practice.
650 0 Securities|zUnited States.
650 0 Securities industry|xLaw and legislation|zUnited States.
650 0 Disclosure of information|xLaw and legislation|zUnited
States.
650 0 Corporate governance|xLaw and legislation|zUnited States.
650 0 Consolidation and merger of corporations|xLaw and
legislation|zUnited States.
690 Securities Law.
690 Corporations and Partnerships.
700 1 Beller, Alan L.|echair.
700 1 Lynn, David M.|echair.
700 1 Mahoney, Colleen P.,|d1957-|echair.
710 2 Practising Law Institute.|esponsoring body.
830 0 Corporate law and practice course handbook series ;|vno. B
-2062, B-2063.
955 |qnew1312|qna1312
970 01 |l|tVOLUME ONE
970 11 |l1.|tIntegration of Private and Public Offerings Update
|cStanley Keller|fKeller, Stanley|p1-137
970 11 |l2.|tEdwards Wildman Client Advisory: SEC Adopts Rules on
General Solicitation that Fundamentally Change Private
Capital Raising and Proposes Further Revisions, July 2013
|cSubmitted by: Stanley Keller|fKeller, Stanley|p1-191
970 11 |l3.|tGeneral Solicitation: What Congress Giveth, the SEC
Proposes to Taketh Away|cStanley Keller|fKeller, Stanley
|p1-199
970 11 |l4.|tAlternatives to Registration Chart|cStanley Keller
|fKeller, Stanley|cJean E. Harris|fHarris, Jean E.
|cRichard M. Leisner|fLeisner, Richard M.|p1-211
970 11 |l5.|tSEC Press Release: SEC Approves JOBS Act Requirement
to Lift General Solicitation Ban, July 10, 2013|p1-217
970 11 |l6.|tSEC Fact Sheet: Eliminating the Prohibition on
General Solicitation and General Advertising in Certain
Offerings, SEC Open Meeting, July 10, 2013|p1-221
970 11 |l7.|tSEC Fact Sheet: Proposing Amendments to Private
Offering Rules, SEC Open Meeting, July 10, 2013|p1-227
970 11 |l8.|tSEC Fact Sheet: Disqualification of Felons and Other
Bad Actors from Rule 506 Offerings, SEC Open Meeting, July
10, 2013|p1-235
970 11 |l9.|tSEC FAQs on Conflict Minerals, May 30, 2013|p1-241
970 11 |l10.|tSection 13(r) CDIs Exchange Act CDIs 147.01 Through
147.07|cSubmitted by: Keith F. Higgins|fHiggins, Keith F.
|p1-249
970 11 |l11.|tSocial Media and Regulation FD|cMeredith B. Cross
|fCross, Meredith B.|cIan C. Wildgoose Brown|fWildgoose
Brown, Ian C.|cJennifer A. Zepralka|fZepralka, Jennifer A.
|p1-255
970 11 |l12.|tSocial Media and Regulation FD in a Post Netflix
World|cCatherine T. Dixon|fDixon, Catherine T., 1955-|p1-
275
970 11 |l13.|tSEC Declines Enforcement Action in Netflix REG FD
Matter and Issues Social Media Guidance|cSubmitted by:
Steven E. Bochner|fBochner, Steven E.|p1-293
970 11 |l14.|tCalSTRS Corporate Governance 2013 Annual Report,
Spring, 2013|cSubmitted by: John W. White|fWhite, John W.
|p1-297
970 11 |l15.|tViewpoints for the Audit Committee Leadership
Summit, Board Shareholder Engagement, Issue 21: 2 May 2013
|cSubmitted by: John W. White|fWhite, John W.|p1-331
970 11 |l16.|tEquilar Outlook on 2013 Say on Pay Responses
|cSubmitted by: John W. White|fWhite, John W.|p1-349
970 11 |l17.|tSemler Brossy, 2013 Say on Pay Results, Russell
3000, July 31, 2013|cSubmitted by: John W. White|fWhite,
John W.|p1-357
970 11 |l18.|tThe Conference Board, Proxy Voting Fact Sheet, July
2013|cSubmitted by: John W. White|fWhite, John W.|p1-373
970 11 |l19.|tUnited 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"|cSubmitted by: John W.
White|fWhite, John W.|p1-431
970 11 |l20.|tTIAA CREF Policy Statement on Corporate Governance,
6th Edition|cSubmitted by: Stephen L. Brown|fBrown,
Stephen L.|p1-537
970 11 |l21.|t2013 Proxy Season Review, United States|cSubmitted
by: Gary Retelny|fRetelny, Gary|p1-567
970 11 |l22.|tPrepared Remarks of U.S. Attorney Preet Bharara,
Citizens Crime Commission, The Cyber Threat: Are
Government and Industry 'Outgunned'?, April 16, 2012
|cSubmitted by: Richard H. Walker|fWalker, Richard H.|p1-
625
970 11 |l23.|tKaye Scholer White Collar/FCPA Alert: SEC and DOJ
Reward Ralph Lauren for Self Reporting FCPA Violations,
April 23, 2013|cSubmitted by: Richard H. Walker|fWalker,
Richard H.|p1-639
970 11 |l24.|tSidley 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
|cSubmitted by: Richard H. Walker|fWalker, Richard H.|p1-
645
970 11 |l25.|tSidley Austin LLP FCPA Update: DOJ & SEC Release
Long Anticipated FCPA Guide, November 15, 2012|cSubmitted
by: Richard H. Walker|fWalker, Richard H.|p1-659
970 11 |l26.|tGibson Dunn 2012 Year End FCPA Update, January 2,
2013|cSubmitted by: Richard H. Walker|fWalker, Richard H.
|p1-665
970 11 |l27.|tManaging a Corporate Crisis: The Ten Commandments
of Crisis Management|cJohn F. Savarese|fSavarese, John F.
|cSubmitted by: Richard H. Walker|fWalker, Richard H.|p1-
699
970 11 |l28.|tPearl Meyer & Partners, Trends and Issues, Say on
Pay Game Plan: A Best Practice Processfor Overcoming a
Negative Vote|cSubmitted by: Richard H. Walker|fWalker,
Richard H.|p1-729
970 11 |l29.|tSullivan & Cromwell LLP Memorandum, Say on Pay
Review of 2012 Proxy Season Results, July 17, 2012
|cSubmitted by: Richard H. Walker|fWalker, Richard H.|p1-
739
970 11 |l30.|tMemorandum 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|cSubmitted by: Bradley E. Lerman|fLerman,
Bradley E.|p1-757
970 11 |l31.|tU.S. Cybersecurity s Path from Legislative Debate
to Executive Action, Corporate Counsel, August 9, 2012
|cSubmitted by: Bradley E. Lerman|fLerman, Bradley E.|p1-
767
970 11 |l32.|tDebevoise & 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
|cSubmitted by: Louise M. Parent|fParent, Louise M.|p1-775
970 11 |l33.|tDebevoise & Plimpton LLP FCPA Update, Spotlight on
Latin America: Overview, March 2013, Vol. 4, No. 8
|cSubmitted by: Louise M. Parent|fParent, Louise M.|p1-803
970 11 |l34.|tDebevoise & Plimpton LLP FCPA Update, Spotlight on
Southeast Asia, June 2013, Vol. 4, No. 11 /|rLouise M.
Parent American Express Company|cSubmitted by: Louise M.
Parent|fParent, Louise M.|p1-825
970 11 |l35.|tDebevoise & 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|cSubmitted by: Louise M. Parent|fParent, Louise M.
|p1-841
970 11 |l36.|tSullivan & Cromwell LLP Memorandum, Adjusting to
Shareholder Activism, August 22, 2013|cSubmitted by:
Gloria Santona|fSantona, Gloria|p1-855
970 11 |l37.|tThe Evolving Responsibilities of Audit Committees,
August 2013|cLinda L. Griggs|fGriggs, Linda L.|p1-867
970 11 |l38.|tThe SEC s Renewed Interest in Accounting Cases A
New Beginning, or a Victim of Fait? September 2013|cLinda
L. Griggs|fGriggs, Linda L.|cJohn J. Huber|fHuber, John J.
|cChristian J. Mixter|fMixter, Christian J.|p1-889
970 11 |l39.|tCurrent FASB Projects that May Affect Lawyers,
August 2013|cLinda L. Griggs|fGriggs, Linda L.|p1-927
970 11 |l40.|tPCAOB Release No. 2013 005, August 13, 2013,
Proposed Auditing Standards|cSubmitted by: James R. Doty
|fDoty, James R.|p1-955
970 11 |l41.|tSecond Report on the Progress of the Interim
Inspection Program Related to Audits of Brokers and
Dealers, PCAOB Release No. 2013 006, August 19, 2013
|cSubmitted by: James R. Doty|fDoty, James R.|p1-1119
970 11 |l42.|tAileen 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|cJames R. Doty
|fDoty, James R.|p1-1165
970 11 |l43.|tPCAOB Initiatives Affecting the Work of the Audit
Committee|cDaniel L. Goelzer|fGoelzer, Daniel L.|p1-1183
970 11 |l44.|tMeasuring Audit Quality, Remarks by Daniel L.
Goelzer at the American Bar Association Business Law
Section 2013 Spring Meeting, April 4, 2013|cDaniel L.
Goelzer|fGoelzer, Daniel L.|p1-1217
970 11 |l45.|tAudit Committee Agenda: Discussion of the Auditor s
PCAOB Inspection Report|cDaniel L. Goelzer|fGoelzer,
Daniel L.|p1-1229
970 01 |l|tVOLUME TWO
970 11 |l46.|tMorrison & Foerster Client Alert: CFTC Adopts
Substituted Compliance Approach for Registered Investment
Companies That Are Commodity Pools, August 14, 2013
|cKelley A. Howes|fHowes, Kelley A.|cJay G. Baris|fBaris,
Jay G.|p2-41
970 11 |l47.|tMorrison & Foerster Client Alert: Insider Trading
in Mutual Funds: Do Traditional Theories Apply?, August 8,
2013|cJay G. Baris|fBaris, Jay G.|cKelley A. Howes|fHowes,
Kelley A.|cDaniel A. Nathan|fNathan, Daniel A.|p2-49
970 11 |l48.|tMorrison & Foerster Client Alert: Goldilocks,
Porridge and General Solicitation, July 10, 2013|cJay G.
Baris|fBaris, Jay G.|cDavid M. Lynn|fLynn, David M.|cAnna
T. Pinedo|fPinedo, Anna T.|p2-57
970 11 |l49.|tStructured Products: Investment Company Act and
Investment Advisers Act Considerations, the Review of
Securities & Commodities Regulation, Vol. 46, No. 7, April
3, 2013|cAnna T. Pinedo|fPinedo, Anna T.|cJay G. Baris
|fBaris, Jay G.|p2-65
970 11 |l50.|tMorrison & Foerster Socially Aware: Private Funds
on Social Media Proceed with Caution, July 15, 2013|cJay
G. Baris|fBaris, Jay G.|p2-77
970 11 |l51.|tSchulte Roth & Zabel Alert: The SEC s JOBS Act
Rulemaking: What It Means for Private Fund Managers, July
24, 2013|cBrad L. Caswell|fCaswell, Brad L.|cBrian T. Daly
|fDaly, Brian T.|cMarc E. Elovitz|fElovitz, Marc E.|cJacob
Preiserowicz|fPreiserowicz, Jacob|cPaul N. Roth|fRoth,
Paul N.|p2-83
970 11 |l52.|tStradley Ronon Fund Alert, Money Market Fund Reform
: SEC Proposes Fundamental Reform and Other Significant
Rule Amendments, July 2013|cJoan Ohlbaum Swirsky|fOhlbaum
Swirsky, Joan|cSubmitted by: Allison M. Fuller|fFuller,
Allison M.|p2-95
970 11 |l53.|tSkadden Memorandum: CFTC Issues Final Guidance and
Accompanying Exemptive Order on Cross Border Application
of Certain Swap Regulations, July 31, 2013|cSubmitted by:
Brian V. Breheny|fBreheny, Brian V.|p2-137
970 11 |l54.|tSkadden Securities Regulation and Compliance Alert:
SEC Resources Extraction Issuer Disclosure Rules Vacated,
July 3, 2013|cSubmitted by: Brian V. Breheny|fBreheny,
Brian V.|p2-159
970 11 |l55.|tSkadden Executive Compensation and Benefits Alert:
Skadden s Proxy Watch: Latest 2013 Say On Pay Trends and a
Proxy Litigation Update, July 23, 2013|cSubmitted by:
Brian V. Breheny|fBreheny, Brian V.|p2-165
970 11 |l56.|tSkadden Securities Regulation and Compliance Alert:
SEC Staff Issues Conflict Minerals & Resource Extraction
Payments Disclosure Guidance, June 3, 2013|cSubmitted by:
Brian V. Breheny|fBreheny, Brian V.|p2-173
970 11 |l57.|tSkadden Securities Regulation and Compliance Alert:
Getting Back to Basics with Rule 10b5 1 Trading Plans,
April 9, 2013|cSubmitted by: Brian V. Breheny|fBreheny,
Brian V.|p2-179
970 11 |l58.|tSkadden Corporate Finance Alert: Tweet This! SEC
Addresses Application of Regulation FD to Social Media,
April 3, 2013|cSubmitted by: Brian V. Breheny|fBreheny,
Brian V.|p2-185
970 11 |l59.|tSkadden Securities Regulation and Compliance Alert:
Guidance on New Iran Related Disclosure Requirements,
February 7, 2013|cSubmitted by: Brian V. Breheny|fBreheny,
Brian V.|p2-191
970 11 |l60.|tRecommendations of the Investor Advisory Committee
Regarding SEC Rulemaking to Explore Universal Proxy
Ballots (Adopted July 25, 2013)|cSubmitted by: Brian V.
Breheny|fBreheny, Brian V.|p2-195
970 11 |l61.|tRecommendations of the Investor Advisory Committee
Regarding SEC and the Need for the Cost Effective
Retrieval of Information by Investors (Adopted July 25,
2013)|cSubmitted by: Brian V. Breheny|fBreheny, Brian V.
|p2-203
970 11 |l62.|tCommittee on Disclosure of Corporate Political
Spending Petition for Rulemaking, August 3, 2011
|cSubmitted by: Brian V. Breheny|fBreheny, Brian V.|p2-213
970 11 |l63.|tRequest for Rulemaking Concerning Amending Rule
10b5 1, December 28, 2012|cSubmitted by: Brian V. Breheny
|fBreheny, Brian V.|p2-227
970 11 |l64.|tPetition for Rulemaking Under Section 13(f) of the
Securities Exchange Act of 1934, February 1, 2013
|cSubmitted by: Brian V. Breheny|fBreheny, Brian V.|p2-235
970 11 |l65.|tShareholder Demands for Corporate Political
Disclosure|cKeir D. Gumbs|fGumbs, Keir D.|p2-249
970 11 |l66.|tCovington Advisory/Securities: D.C. District Court
Upholds SEC s Conflict Minerals Rule, July 24, 2013
|cSubmitted by: Keir D. Gumbs|fGumbs, Keir D.|p2-259
970 11 |l67.|tCovington Advisory/Securities: D.C. District Court
Vacates SEC s Resource Extraction Payment Rule, July 3,
2013|cSubmitted by: Keir D. Gumbs|fGumbs, Keir D.|p2-265
970 11 |l68.|tCovington Advisory/Securities: Required
Communications Between Auditors and Audit Committees,
January 29, 2013|cSubmitted by: Keir D. Gumbs|fGumbs, Keir
D.|p2-273
970 11 |l69.|tCovington Advisory/Securities: SEC Staff Issues
Conflict Minerals FAQs, May 31, 2013|cSubmitted by: Keir
D. Gumbs|fGumbs, Keir D.|p2-283
970 11 |l70.|tCovington E Alert/Election and Political Law,
Securities Law STOCK Act Opens Up New Front for Insider
Trading Cases, May 16, 2013|cSubmitted by: Keir D. Gumbs
|fGumbs, Keir D.|p2-291
970 11 |l71.|tCovington E Alert: Securities SEC Endorses Social
Media as Public Disclosure Channel, April 3, 2013
|cSubmitted by: Keir D. Gumbs|fGumbs, Keir D.|p2-297
970 11 |l72.|tRule 10b5 1 Trading Plans: Avoiding the Heat,
Securities Regulation & Law Report, 45 SRLR 438, 3/11/2013
|cDavid B. H. Martin|fMartin, David B. H.|cKeir D. Gumbs
|fGumbs, Keir D.|cDavid L. Kornblau|fKornblau, David L.
|cMatthew C. Franker|fFranker, Matthew C.|cStephanie W.
Bignon|fBignon, Stephanie W.|p2-303
970 11 |l73.|tPay Definitions: What Works Best in Pay for
Performance Analysis, November 2012|cRobin Ferracone
|fFerracone, Robin A.|cJack Zwingli|fZwingli, Jack|p2-313
970 11 |l74.|tPerformance Metrics and Their Link to Value,
Summary Report, January 2013|cSubmitted by: Robin
Ferracone|fFerracone, Robin A.|p2-345
970 11 |l75.|tAchieving Positive Outcomes, NACD Directorship
September/October 2012|cSubmitted by: Robin Ferracone
|fFerracone, Robin|p2-365
970 11 |l76.|tThe Continuing Validity of the Mosaic Theory as a
Viable Defense to Insider Trading, August 30, 2013|cCarmen
J. Lawrence|fLawrence, Carmen J. (Carmen Judith), 1956-
|cNicole R. Love|fLove, Nicole R.|p2-373
970 11 |l77.|tOutline of Selected SEC Enforcement Actions, May
2013|cSubmitted by: Robert S Khuzami|fKhuzami, Robert S|p2
-403
970 11 |l78.|tSEC Press Release: SEC Announces Whistleblower
Action, June 12, 2013|cSubmitted by: Robert S Khuzami
|fKhuzami, Robert S|p2-445
970 11 |l79.|tSEC 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.|cSubmitted by: Robert S Khuzami|fKhuzami, Robert S
|p2-449
970 11 |l80.|tDavid Woodcock and Margaret McGuire, SEC Financial
Reporting and Audit Task Force, the Trusted Professional,
August 21, 2013|cSubmitted by: Robert S Khuzami|fKhuzami,
Robert S|p2-477
970 11 |l81.|tSEC Press Release: SEC Announces Enforcement
Initiatives to Combat Financial Reporting and Microcap
Fraud and Enhance Risk Analysis, July 2, 2013|cSubmitted
by: Robert S Khuzami|fKhuzami, Robert S|p2-483
970 11 |l82.|tMorrison & Foerster Client Alert: Inside
Baseball—SEC Enforcement Co-Chief Calls ‘Em Like He Sees
‘Em, June 19, 2013|cSubmitted by: Robert S Khuzami
|fKhuzami, Robert S|p2-489
970 11 |l83.|tDefending Against the Government|cHerbert F. Janick,
III|fJanick, Herbert F.|cIke Adams|fAdams, Ike|cNicole M.
Brown|fBrown, Nicole M.|p2-497
970 11 |l84.|t Juggling Criminal, Civil and Multinational
Investigations|cBruce E. Yannett|fYannett, Bruce E.|cErich
O. Grosz|fGrosz, Erich O.|p2-519
970 11 |l85.|tArticles Prepared for the Spring 2013 Edition of
Bernstein Litowitz Berger & Grossman’s Newsletter, the
Advocate for Institutional Investors|cSubmitted by: Max W.
Berger|fBerger, Max W.|p2-559
970 11 |l86.|t “Known Trends and Uncertainties”: Disclosure
Obligations in Management’s Discussion and Analysis Under
Item 303 of Regulation S-K|cSubmitted by: Charles S.
Duggan|fDuggan, Charles S.|p2-569
970 11 |l87.|tThe Impact of Recent Supreme Court Decisions on
Rule 23(b)(3)’s Predominance Requirement|cJonathan K.
Youngwood|fYoungwood, Jonathan K.|cNihara K. Choudhri
|fChoudhri, Nihara K.|cKelly A. Hodges|fHodges, Kelly A.
|p2-603
970 11 |l88.|tCurrent Thoughts About Activism|cMartin Lipton
|fLipton, Martin|cSteven A. Rosenblum|fRosenblum, Steven
A.|cSebastian V. Niles|fNiles, Sebastian V.|p2-623
970 11 |l89.|tMergers and Acquisitions—2013|cAndrew R. Brownstein
|fBrownstein, Andrew R.|cSteven A. Rosenblum|fRosenblum,
Steven A.|cAdam O. Emmerich|fEmmerich, Adam O.|cMark
Gordon|fGordon, Mark|cGordon S. Moodie|fMoodie, Gordon S.
|cEitan Hoenig|fHoenig, Eitan|p2-631
970 11 |l90.|tRecent Decisions of Delaware Courts|cMark J.
Gentile|fGentile, Mark J.|p2-641
970 11 |l91.|tNot Your Father’s Ethics Environment—Is There
Increased Scrutiny of Lawyers? What Is the Truth and What
Are the Consequences?|cGiovanni Prezioso|fPrezioso,
Giovanni|p2-827
970 11 |l92.|tUpdate on the SEC’s Lawyer Disciplinary Program
|cDixie L. Johnson|fJohnson, Dixie L.|cDavid D. Whipple
|fWhipple, David D.|p2-925
970 11 |l93.|tFrequency of 102(e) Cases (By Six-Month Period)
|cSubmitted by: Dixie L. Johnson|fJohnson, Dixie L. |p2-
933
970 11 |l94.|tZealous Advocacy and Offending the SEC: The SEC’s
Lawyer Discipline Program, Insights, the Corporate &
Securities Law Advisor, Volume 26, Number 10, October 2012
|cDixie L. Johnson|fJohnson, Dixie L.|cDavid D. Whipple
|fWhipple, David D.|p2-937
970 11 |l95.|tEthical Dilemmas for Disclosure Lawyers: Summary of
Selected SEC Cases Involving Disclosure Lawyers|cJohn F.
Olson|fOlson, John F.|cAndrew Hirsch|fHirsch, Andrew|cMarc
Collier|fCollier, Marc|cTaylor Hathaway-Zepeda|fHathaway-
Zepeda, Taylor|p2-949
970 11 |l96.|tSummary of Recent SEC Actions and Private Suits
Against Lawyers for Involvement in Capital Raises|cJohn F.
Olson|fOlson, John F.|p2-963
970 11 |l97.|tSupplement of Selected Cases Against Lawyers for
Involvement in Capital Raises|cJohn F. Olson|fOlson, John
F.|p2-979
970 11 |l98.|tSelected Recent Developments in U.S. Securities
Laws and Corporate Finance|cJohn F. Olson|fOlson, John F.
|cJonathan C. Dickey|fDickey, Jonathan C.|cStephen I.
Glover|fGlover, Stephen I.|cBrian J. Lane|fLane, Brian J.
|cRonald O. Mueller|fMueller, Ronald O.|cAmy L. Goodman
|fGoodman, Amy L.|cJames J. Moloney|fMoloney, James J.
|cPaul J. Collins|fCollins, Paul J.|cGillian McPhee
|fMcPhee, Gillian|cPeter W. Wardle|fWardle, Peter W.|cAri
B. Lanin|fLanin, Ari B.|cElizabeth Ising|fIsing, Elizabeth
|cMichael Scanlon|fScanlon, Michael|cDavid Lee|fLee, David
|cAndrew Hirsch|fHirsch, Andrew|cMelissa Barshop|fBarshop,
Melissa|p2-985
998 |cSRA
