MARC 主機 00000nam 2200000Ia 4500
001 ocn467272702
003 OCoLC
005 20091119111827.0
008 091119s2009 nyua b 001 0 eng d
020 9781402413001
020 1402413009
035 (OCoLC)467272702
040 DLA|cSLA
043 n-us---
049 SLAA
079 ocn466089860
090 KF1440|b.I525 2009
111 2 Institute on Securities Regulation|n(41st :|d2009 :|cNew
York, N.Y.)
245 10 41st annual institute on securities regulation /|cco-
chairs, Steven E. Bochner, Stanley Keller, Colleen P.
Mahoney.
246 3 Forty first annual institute on securities regulation
246 3 Institute on securities regulation
246 10 Annual institute on securities regulation
260 New York, N.Y. :|bPractising Law Institute,|cc2009.
300 2 v. (1601, 1447 p.):|bill. ;|c23 cm.
490 1 Corporate law and practice course handbook series ;|vnos.
B-1773, B-1774
500 "Prepared for distribution at the 41st Annual Institute on
Securities Regulation, November 2009"--P. 5.
504 Includes bibliographical references and index.
610 10 United States.|bDept. of the Treasury|xRules and practice.
610 10 United States.|bSecurities and Exchange Commission|xRules
and practice.
650 0 Securities|zUnited States.
650 0 Capital market|xLaw and legislation.
650 0 Disclosure of information|xLaw and legislation|zUnited
States.
650 0 Corporate governance|xLaw and legislation|zUnited States.
650 0 Executives|xSalaries, etc.|xLaw and legislation|zUnited
States.
650 0 Corporate internal investigations|zUnited States.
650 0 Actions and defenses|zUnited States.
700 1 Bochner, Steven E.
700 1 Keller, Stanley.
700 1 Mahoney, Colleen P.,|d1957-
710 2 Practising Law Institute.
830 0 Corporate law and practice course handbook series ;|vno. B
-1773, B-1774.
955 |qnew0911
970 10 |tVolume 1
970 10 |tDay one
970 10 |tFinancial markets and regulatory overview|cAlan L.
Beller|fBeller, Alan L.|cDavid M. Becker|fBecker, David M.,
1947-|cH. Rodgin Cohen|fCohen, H. Rodgin|cStephen M.
Cutler|fCutler, Stephen M.|cGeorge W. Madison|fMadison,
George W.|cAnnette L. Nazareth|fNazareth, Annette L.|p135
970 12 |l1.|tU.S. Department of the Treasury, financial
regulatory reform : a new foundation, executive summary
|p139
970 12 |l2.|tU.S. Department of the Treasury Fact sheets|p149
970 12 |l3.|tU.S. Department of the Treasury press release, July
24, 2009 : Treasury Secretary Timothy F. Geithner written
testimony before the House Financial Services Committee
|p221
970 12 |l4.|tTestimony 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|p233
970 12 |l5.|tTestimony 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|p243
970 12 |l6.|tTestimony 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|p257
970 12 |l7.|tTestimony 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|p275
970 12 |l8.|tSullivan & Cromwell LLP : financial services
regulation, June 17, 2009|p297
970 12 |l9.|tCleary Gottlieb alert memo : President Obama's
financial regulatory reform plan : key issues for market
participants|p309
970 12 |l10.|tDavis Polk, A new foundation for financial
regulation? : June 22, 2009|p317
970 12 |l11.|tCleary Gottlieb alert memo : President Obama's
financial regulatory reform plan, a closer look|p365
970 12 |l12.|tDavis Polk client newsflash : Investor Protection
Act of 2009|p393
970 12 |l13.|tCleary Gottlieb alert memo : SEC releases proposed
disclosure rule changes for compensation program risk,
compensation consultant independence and equity-based
compensation awards|p399
970 12 |l14.|tDavis Polk : The regulatory reform marathon, July
28, 2009|p419
970 12 |l15.|tSullivan & Cromwell : Treasury OTFC derivatives
legislative proposal, August 17, 2009|p455
970 12 |l16.|tCleary Gottlieb alert memo : Obama Administration's
legislative proposal for regulatory reform of over-the-
counter derivatives markets|p465
970 10 |tCapital markets transactions in difficult times|p497
970 12 |l17.|tFinancing alternatives for public companies
|cStephen M. Graham|fGraham, Stephen M.|p499
970 12 |l18.|tWhy an exempt offering or a hybrid offering?|cAnna
T. Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum,
James R.|p543
970 12 |l19.|tATMs : the other cash machine|cAnna T. Pinedo
|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum, James R.
|p591
970 12 |l20.|tCapital markets|cAnna T. Pinedo|fPinedo, Anna T.
|cJames R. Tanenbaum|fTanenbaum, James R.|p595
970 12 |l21.|tChange in the air? U.S. Securities and Exchange
Commission's recent rule revisions|cAnna T. Pinedo|fPinedo,
Anna T.|cJames R. Tanenbaum|fTanenbaum, James R.|p599
970 12 |l22.|tFrequently asked questions about PIPEs|cAnna T.
Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum,
James R.|p605
970 12 |l23.|tFrequently asked questions about registered direct
offerings|cAnna T. Pinedo|fPinedo, Anna T.|cJames R.
Tanenbaum|fTanenbaum, James R.|p621
970 12 |l24.|tOver the wall and through the woods : a look at
wall-crossed deals|cAnna T. Pinedo|fPinedo, Anna T.|cJames
R. Tanenbaum|fTanenbaum, James R.|p629
970 12 |l25.|tOver the worst of it : the US courts have reached
the wrong conclusions in recent PIPE cases; the SEC has
been unable to help them|cAnna T. Pinedo|fPinedo, Anna T.
|cJames R. Tanenbaum|fTanenbaum, James R.|p635
970 12 |l26.|tPIPEs 2007 : the status quo takes a blow|cAnna T.
Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum,
James R.|p641
970 12 |l27.|tPIPEs and registered directs : back to the future
|cAnna T. Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum
|fTanenbaum, James R.|p645
970 12 |l28.|tRights offerings : right for right now|cAnna T.
Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum,
James R.|p651
970 12 |l29.|tThe offering of choice in 2008|cAnna T. Pinedo
|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum, James R.
|p655
970 12 |l30.|tThe short story|cAnna T. Pinedo|fPinedo, Anna T.
|cJames R. Tanenbaum|fTanenbaum, James R.|p659
970 12 |l31.|tWhen a primary is not a primary : large volumes of
PIPE securities now cannot be easily sold on|cAnna T.
Pinedo|fPinedo, Anna T.|cJames R. Tanenbaum|fTanenbaum,
James R.|p663
970 12 |l32.|tIPO market update|cMichael S. Wishart|fWishart,
Michael S.|p667
970 10 |tUpdate from the Division of Corporation Finance|p679
970 12 |l33.|tSecurities 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|cMeredith B. Cross|fCross,
Meredith B.|cBrian V. Breheny|fBreheny, Brian V.|cShelley
E. Parratt|fParratt, Shelley E.|p681
970 12 |l34.|tSecurities 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|cMeredith B. Cross|fCross, Meredith B.|cBrian
V. Breheny|fBreheny, Brian V.|cShelley E. Parratt|fParratt,
Shelley E.|p685
970 12 |l35.|tSecurities 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|cMeredith B.
Cross|fCross, Meredith B.|cBrian V. Breheny|fBreheny,
Brian V.|cShelley E. Parratt|fParratt, Shelley E.|p689
970 10 |tHandling disclosure issues in the current environment
|p693
970 12 |l36.|tUsing webs sites a s a means of public
dissemination : the commission guidance|cKeith F. Higgins
|fHiggins, Keith F.|p695
970 12 |l37.|tUsing corporate websites for regulation FD-
compliant disclosure : recommended best practices|cSteven
E. Bochner|fBochner, Steven E.|cEvan C. Kastner|fKastner,
Evan C.|p705
970 12 |l38.|tIs your company tweeting towards trouble? : twitter
and securities law compliance|cJulie Jones|fJones, Julie
H.|cCynthia McMakin|fMcMakin, Cynthia|cKeith F. Higgins
|fHiggins, Keith F.|p715
970 12 |l39.|t Anticipating the 2010 MD&A|cCatherine T. Dixon
|fDixon, Catherine T., 1955-|p729
970 22 |tAppendix : Important developments in evaluating the
materiality of financial errors|p849
970 12 |l40.|tA leap of faith : jumping into disclosure of
accounting issues and thriving|cJohn Huber|fHuber, John J.
|p861
970 12 |l41.|tA new season for environmental risk factors and
related disclosures|cDavid B.H. Martin|fMartin, David B.H.
|p979
970 10 |tDay two
970 10 |tWhat's on the minds of general counsels today?|p997
970 12 |l42.|tInside counsel in a more perilous world|cBrackett
B. Denniston, III|fDenniston, Brackett B.|cRandy Kozel
|fKozel, Randy|p999
970 12 |l43.|tRisk and the Chief Legal Officer : potential
exposure|cPeter Allan Atkins|fAtkins, Peter Allan|cFrank
Ed Bayouth|fBayouth, Frank Ed|p1017
970 12 |l44.|tStrategies to achieve cost reduction through
changes in employment|cLynnette C. Fallon|fFallon, Annette
C.|p1047
970 12 |l45.|tKey policymaker quotes on executive compensation
|cLouise M. Parent|fParent, Louise M.|p1051
970 12 |l46.|tHouse Committee on Financial Services press release,
July 16, 2009 : frank statement on executive compensation
|cLouise M. Parent|fParent, Louise M.|p1055
970 12 |l47.|tHouse Committee on Financial Services press release,
June 31, 2009 : house passes executive compensation reform
|cLouise M. Parent|fParent, Louise M.|p1059
970 12 |l48.|tCorporate and Financial Institution Compensation
Fairness Act of 2009, H.R. 3269, July 31. 2009|cLouise M.
Parent|fParent, Louise M.|p1063
970 12 |l49.|tExecutive compensation language in Financial
regulatory reform, a new foundation : rebuilding financial
supervision and regulation|cLouise M. Parent|fParent,
Louise M.|p1085
970 12 |l50.|tU.S. Department of the Treasury fact sheet :
Administrations' regulatory reform agenda moves forward :
new independence for compensation committees (see chapter
2 E.)|cLouise M. Parent|fParent, Louise M.|p1089
970 12 |l51.|tU.S. Department of the Treasury fact sheet :
Administration's regulatory reform agenda moves forward :
say-on-pay (see chapter 2 D.)|cLouise M. Parent|fParent,
Louise M.|p1091
970 12 |l52.|tSenator Charles E. Schumer press release, May 13,
2009 : Schumer, Cantwell announce "Shareholder bill of
rights" to impose greater accountability on corporate
America|cLouise M. Parent|fParent, Louise M.|p1093
970 12 |l53.|tShareholder Bill of Rights Act of 2009, S. 1074,
May 19, 2009|cLouise M. Parent|fParent, Louise M.|p1099
970 10 |tCorporate governance in challenging times|p1113
970 12 |l54.|tShareholder Bill of Rights Act of 2009, S. 1074,
May 19, 2009 (see chapter 46)|cJohn M. White|fWhite, John
M., 1961-|p1115
970 12 |l55.|tCravath, Swaine & Moore LLP : SEC approves
amendment to NYSE rule 452, eliminating broker
discretionary voting in uncontested director elections,
July 1, 2009|cJohn M. White|fWhite, John M., 1961-|p1117
970 12 |l56.|tComment letters to the U.S. Securities and Exchange
Commission re : facilitating director nominations (file
no. S7-10-09)|cJohn M. White|fWhite, John M., 1961-|p1123
970 12 |l57.|tU.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|cJohn M.
White|fWhite, John M., 1961-|p1295
970 12 |l58.|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.|p1305
970 10 |tVolume 2
970 10 |tSpotlight on executive compensation|p21
970 12 |l59.|tCompensia, Inc. thoughtful pay alert : shareholder
advisory votes on executive compensation : a "say on pay"
primer|cMark A. Borges|fBorges, Mark A.|p23
970 12 |l60.|tCompensia, Inc. thoughtful pay alert : The SEC's
new disclosure proposals|cMark A. Borges|fBorges, Mark A.
|p35.
970 12 |l61.|tCompensation best practices overview|cRichard C.
Ferlauto|fFerlauto, Richard C.|p47
970 12 |l62.|tThe Conference Board task force on executive
compensation|cRichard C. Ferlauto|fFerlauto, Richard C.
|p57
970 10 |tDelaware corporate law developments|p81
970 12 |l63.|tRecent developments in Delaware corporate law
|cGregory V. Varallo|fVarallo, Gregory V., 1959-|cMargot
F. Alicks|fAlicks, Margot F.|p83
970 12 |l64.|tLessons from the meltdown : reverse termination
fees, Deal lawyers, vol. 2, no. 6, November-December 2008
|cGregory V. Varallo|fVarallo, Gregory V., 1959-|cBlake
Rohrbacher|fRohrbacher, Blake|p169
970 12 |l65.|tLessons from the meltdown : MAE clauses, Deal
lawyers, vol. 3, no. 1, January-February 2009|cGregory V.
Varallo|fVarallo, Gregory V., 1959-|cBlake Rohrbacher
|fRohrbacher, Blake|p179
970 12 |l66.|tLessons from the meltdown : Remedies, Deal lawyers,
vol. 3, no. 2, March-April 2009|cGregory V. Varallo
|fVarallo, Gregory V., 1959-|cBlake Rohrbacher|fRohrbacher,
Blake|cMargot Alicks|fAlicks, Margot F.|p189
970 12 |l67.|tRecent decisions in Delaware corporate law : 2008-
09|cDavid C. McBride|fMcBride, David C.|p199
970 12 |l68.|t"Good faith" under Delaware law : relevance,
definition and application|cDavid C. McBride|fMcBride,
David C.|cKathaleen St. J. McCormick|fMcCormick, Kathaleen
St. J.|p303
970 12 |l69.|tDefining the proper subject matter for a bylaw
under Delaware law|cWilliam M Lafferty|fLafferty, William
M., 1963-|cJohn P. DiTomo|fDiTomo, John P.|p337
970 12 |l70.|tShareholder ratification finally defined and
properly limited|cPamela Tikellis|fTikellis, Pamela|p467
970 10 |tM&A practice developments|p479
970 12 |l71.|tCorporate governance feature : using social media
technology in proxy solicitations, The M&A lawyer, May
2009, volum3 13m issue 5|cMarc. R. Packer|fPacker, Marc R.
|cSteven E. Bochner|fBochner, Steven E.|p481
970 12 |l72.|t2009 strategic buyer/public target mergers &
acquisitions deal points study (for transactions announced
in 2008)|cRichard E. Climan|fCliman, Richard E.|p493
970 12 |l73.|tTakeover law and practice, 2009|cPatricia A.
Vlahakis|fValhakis, Patricia A.|p607
970 10 |tGovernment enforcement rules
970 12 |lA.|tNew leadership/new goals : updated from the SEC, DOJ,
and New York Office of the Attorney General|p779
970 12 |l74.|tOutline of recent SEC enforcement actions|cSeamus
F. Bresnahan|fBresnahan, Seamus F.|cRobert S. Khuzami
|fKhuzami, Robert S.|p781
970 12 |lB.|tCivil/criminal enforcement and internal
investigations|p901
970 12 |l75.|tDealing with multiple regulators : reflections on
parallel investigations, regulators' differing roles, and
issues to consider in representing organization clients
|cLinda Chatman Thomsen|fThomsen, Linda Chatman|cDominick
D. Barbieri|fBierbieri, Domnick D.|cMathew S. Miller
|fMiller, Mathew S.|p903
970 12 |l76.|tDavis Polk memos|cLinda Chatman Thomsen|fThomsen,
Linda Chatman|p933
970 13 |lA.|tObama Administration white paper on financial
regulatory reform : executive summary and outline of key
proposals, June 17, 2009|p935
970 13 |lB.|tConsumer Financial Protection Agency Act of 2009,
July 1, 2009|p945
970 13 |lC.|tZacharias v. SEC|p951
970 13 |lD.|tSEC v. Cuban : a new decision casts doubt on a key
SEC position on insider trading|p957
970 13 |lE.|tSEC v. Dorozhko : the Second Circuit's view of
Section 10(B) "deception"|p961
970 13 |lF.|tSEC charges Perry Capital with disclosure violations
in connection with alleged vote buying|p965
970 13 |lG.|tSEC announces significant enforcement initiatives
|p969
970 12 |l77.|tConducting internal investigations in the U.S. and
abroad|cBruce E. Yannett|fYannett, Bruce E.|p975
970 10 |tDealing with private securities litigation|p1009
970 12 |l78.|tEstablishing scienter in securities fraud actions
through imputation of knowledge|cBruce D. Angiolillo
|fAngiolillo, Bruce D.|p1011
970 12 |l79.|tDealing with private securities litigation|cRalph
C. Ferrara|fFerrara, Ralph C.|p1035
970 10 |tAccounting developments lawyers must know|p1077
970 12 |l80.|tLoss contingencies : will companies enhance
disclosures in the future?|cLinda L. Griggs|fGriggs, Linda
L.|p1079
970 12 |l81.|tNational 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|cLinda L. Griggs|fGriggs,
Linda L.|p1097
970 12 |l82.|tRecent work of the Public Company Accounting
Oversight Board|cDaniel L. Goelzer|fGoelzer, Daniel L.
|p1117
970 12 |l83.|tFinancial Accounting Standards Board : current
technical plan and projects update|cRobert H. Herz|fHerz,
Robert H.|p1137
970 12 |l84.|tAchieving a single set of global accounting
standards|cRobert J. Keuppers|fKeuppers, Robert J.|cD.J.
Gannon|fGannon, D.J.|p1145
970 12 |l85.|tFASB amends the consolidation guidance related to
variable interest entities, Deloitte Heads up, v. 16,
issue 23, Jun 16, 2009|cRobert J. Keuppers|fKeuppers,
Robert J.|p1159
970 12 |l86.|tFASB issues new standard on transfers of financial
assets, Deloitte Heads up, v. 16, issue 22, Jun 16, 2009
|cRobert J. Keuppers|fKeuppers, Robert J.|p1177
970 10 |tEthics challenges for business lawyers|p1185
970 12 |l87.|tHypotheticals|cJames H. Cheek, III|cCheek, James H.
|p1191
970 12 |l88.|tSelected resources|cBarbara S. Gillers|fGillers,
Barbara S.|p1197
970 12 |l89.|tModel rules of professional conduct|cJames H. Cheek,
III|cCheek, James H.|p1217
970 12 |l90.|tHypothetical III : ethically changing firms|cArden
J. Olson|fOlson, Arden J.|p1225
970 12 |l91.|tImproving the chances of a win-win|cMichele Coleman
Mayes|fMayes, Michele Coleman|p1241
970 10 |tPutting your professional reputation and more on the
line|p1247
970 12 |l92.|tPanel materials : putting your professional
reputation and more on the line
970 13 |l1.|tCourting the suicide king : closing opinions and
lawyer liability|cDonald W. Glazer|fGlazer, Donald W.
|cJonathan C. Lipson|fLipson, Jonathan C.|p1253
970 13 |l2.|tObservations on the liability of lawyers to non-
clients arising out of the issuance of opinion letters
|cJohn K. Villa|fVilla, John K.|p1253
970 13 |l3.|tExcerpts from Glazer and Fitzgibbon on legal
opinions (Sec. 1.6, Supporting a closing opinion;
Liability, and Sec. 1.7, Ethical considerations|p1279
970 13 |l4.|tStatement on the role of customary practice in the
preparation and understanding of third-party legal
opinions|p1305
970 13 |l5.|tA streamlined form of closing opinion based on the
ABA legal opinion principals|cDonald W. Glazer|fGlazer,
Donald W.|cStanley Keller|fKeller, Stanley|p1311
970 13 |l6.|tExcerpt 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)|p1323
970 13 |l7.|tSummary of issues addressed by the ABA Business Law
Section Task Force on Delivery of Document Review Reports
to Third Parties|cJames J. Rosenhauer|fRosenhauer, James
J.|p1335
970 13 |l8.|tABA Business Law Section Ad Hoc Committee on Audit
Responses, report on listserv activity|p1347
970 13 |l9.|tABA Business Law Section Committee on Audit
Responses, statement of effect of Fin 48 audit response
letters|p1353
970 10 |tAppendix
970 12 |lA.|tImplications of the Obama White Paper on Financial
Regulatory Reform|cRichard H. Walker|fWalker, Richard H.
|p1361
970 12 |lB.|tReforming financial market regulation and
supervision : US and EU approaches|cRichard H. Walker
|fWalker, Richard H.|p1385
998 |cPBL
