MARC 主機 00000nam 2200000I 4500
001 ocn820204758
003 OCoLC
005 20121204014240.0
008 121204s2012 nyuac b 001 0 eng d
020 9781402418877
020 1402418876
035 (OCoLC)820204758
040 CGQ|cSLA|dPQD|dOCLCO|dSLA
043 n-us---
049 SLAA
079 ocn819661242
090 KF1440|b.I525 2012
111 2 Institute on Securities Regulation|n(44th :|d2012 :|cNew
York, N.Y.)
245 10 44th annual Institute on Securities Regulation /|cco-
chairs, Alan L. Beller, Stanley Keller, Collen P. Mahoney.
246 3 Forty-fourth annual Institute on Securities Regulation.
246 10 Annual Institute on Securities Regulation.
260 New York, N.Y. :|bPractising Law Institute,|cc2012.
300 2 v. (1340, 1297 p.)|bill., ports. ;|c23 cm.
490 1 Corporate law and practice course handbook series ;|vno. B
-1986
500 "Prepared for distribution at the 44th Annual Institute on
Securities Regulation, New York Hilton, New York City,
November 7-9, 2012, live webcast: www.pli.edu" --P. 5.
504 Includes bibliographical references and indexes.
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.
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
-1986, B-1987.
955 |qnew1212|qna1212
970 01 |tVolume One
970 11 |l1.|tThe JOBS Act: An Overview of its Impact on the
Securities Offering Process|cJohn C. Coffee Jr.|fCoffee,
John C. 1944|p117
970 11 |l2.|tThe Jumpstart Our Business Startups Act Reforms the
Securities Offering Framework|cAbigail Arms|fArms, Abigail
|p177
970 11 |l3.|tThe Jumpstart Our Business Startups Act of 2012
|cDavid M. Lynn|fLynn, David M.|p205
970 11 |l4.|tJumpstart Our Business Startups ("JOBS") Act An
Overview|cBob Buckholz|fBuckholz, Bob|cSubmitted by David
B. Harms|fHarms, David B.|p249
970 11 |l5.|tWhat Disclosures Does the JOBS Act Require in IPO
Prospectuses?|cKeith F. Higgins|fHiggins, Keith F.|p285
970 11 |l6.|tInitial Public Offerings, Forecasts and Selective
Disclosure|cKeith F. Higgins|fHiggins, Keith F.|p295
970 11 |l7.|tJumpstart Our Business Startups Act Frequently Asked
Questions: Generally Applicable Questions on Title I of
the JOBS Act May 3, 2012 (Questions 18 41) April 16, 2012
(Questions 1 17)|p311
970 11 |l8.|tJumpstart Our Business Startups Act Frequently Asked
Questions: Changes to the Requirements for Exchange Act
Registration and Deregistration April 11, 2012|p331
970 11 |l9.|tJumpstart Our Business Startups Act Frequently Asked
Questions: Confidential Submission Process for Emerging
Growth Companies April 10, 2012|p339
970 11 |l10.|tSEC Press Release 2012 170: SEC Proposes Rules to
Implement JOBS Act Provision About General Solicitation
and Advertising in Securities Offerings, August 29, 2012
|p349
970 11 |l11.|tSEC Press Release 2012 163: SEC Adopts Rule for
Disclosing Use of Conflict Minerals, August 22, 2012|p357
970 11 |l12.|tSEC Press Release 2012 164: SEC Adopts Rules
Requiring Payment Disclosures by Resource Extraction
Issuers, August 22, 2012|cSubmitted by Meredith B. Cross
|fCross, Meredith B.|p365
970 11 |l13.|tSkadden Memorandum: CFTC Takes Steps to Implement
the Clearing Regime for Swaps and Finalizes the Exception
from Clearing for Commercial End Users, August 15, 2012
|cSubmitted by Brian V. Breheny|fBreheny, Brian V.|p373
970 11 |l14.|tSkadden Executive Compensation and Benefits Alert:
Two Thirds of the Way Through the 2012 Proxy Season
Lessons Learned, June 21, 2012|cSubmitted by Brian V.
Breheny|fBreheny, Brian V.|p383
970 11 |l15.|tSkadden Executive Compensation and Benefits Alert:
Important Section 409A Relief Expires at Year End,
September 10, 2012|cSubmitted by Brian V. Breheny|fBreheny,
Brian V.|p391
970 11 |l16.|tSkadden Memorandum: SEC Adopts Conflict Minerals
Rules, September 5, 2012|cSubmitted by Brian V. Breheny
|fBreheny, Brian V.|p397
970 11 |l17.|tSkadden Memorandum: SEC Adopts Rules Requiring
Disclosure of Payments by 'Resource Extraction Issuers',
September 5, 2012|cSubmitted by Brian V. Breheny|fBreheny,
Brian V.|p411
970 11 |l18.|tSkadden Securities Regulation and Compliance Alert:
SEC Adopts Rules Requiring New Listing Standards for
Compensation Committees, June 22, 2012|cSubmitted by Brian
V. Breheny|fBreheny, Brian V.|p417
970 11 |l19.|tSEC Guidance on Use of Corporate Websites Where are
We Four Years Later?|cCatherine T. Dixon|fDixon, Catherine
T. 1955|cKeir D. Gumbs|fGumbs, Keir D.|cPJ Himelfarb
|fHimelfarb, P. J.|p423
970 11 |l20.|tCovington & Burling LLP Advisory Securities: SEC
Adopts Conflict Minerals Rules, August 24, 2012|cSubmitted
by Keir D. Gumbs|fGumbs, Keir D.|p451
970 11 |l21.|tCovington & Burling LLP Advisory Securities: SEC
Adopts Resource Extraction Payment Rules, August 29, 2012
|cSubmitted by Keir D. Gumbs|fGumbs, Keir D.|p467
970 11 |l22.|tPolitical Spending Shareholder Activism in 2012 and
Beyond|cKeir Gumbs|fGumbs, Keir D.|cGintare Stalenyte
|fStalenyte, Gintare|p477
970 11 |l23.|t2012 Glass Lewis Policy Updates, July 20, 2012
|cSubmitted by Daniel J. Ryterband|fRyterband, Daniel J.
|p499
970 11 |l24.|tSEC Finalizes Rules for Compensation Committee and
Adviser Independence (Few Changes from Rules Proposed in
April 2011), June 27, 2012|cSubmitted by Daniel J.
Ryterband|fRyterband, Daniel J.|p507
970 11 |l25.|tProxy Advisor Say on Pay Assessment Process and
Vote Outcome|cDaniel J. Ryterband|fRyterband, Daniel J.
|p515
970 11 |l26.|tKatrice Bridges Copeland, In House Counsel Beware!,
39 Fordham URB. L.J. 391 (2011)|cSubmitted by Brackett B.
Denniston III|fDenniston, Brackett B.|p541
970 11 |l27.|tDonald C. Langevoort, Getting (Too) Comfortable: In
House Lawyers, Enterprise Risk, And The Financial Crisis,
Wis. L. Rev. 495 (2012)|cSubmitted by Brackett B.
Denniston III|fDenniston, Brackett B.|p599
970 11 |l28.|tU.S. v. Stevens, Criminal Action: RWT 10 694 (D.
MD. May 10, 2011)|cSubmitted by Brackett B. Denniston III
|fDenniston, Brackett B.|p629
970 11 |l29.|tAmerican Express Company Corporate Governance
Principles (As Amended and Restated as of February 23,
2012)|cSubmitted by Louis M. Parent|fParent, Louise M.
|p645
970 11 |l30.|tWeil, Gotshal & Manges LLP Memorandum, March 2012
|cSubmitted by Kim K.W. Rucker|fRucker, Kim K.W.|p659
970 11 |l31.|tWeil, Gotshal & Manges LLP Securities Enforcement &
Litigation Alert: SEC Speaks 2012: An "Entrepreneurial"
and Restructured SEC Pledges Proactive Enforcement
|cSubmitted by Kim K.W. Rucker|fRucker, Kim K.W.|p677
970 11 |l32.|tGeneral Counsel Buffeted by Compliance Demands and
Client Pressures May Face Personal Peril|cE. Norman Veasey
|fVeasey, E. Norman|cChristine T. Di Guglielmo|fDi
Guglielmo, Christine T.|p689
970 11 |l33.|tCorporate Governance & Private Securities
Litigation|cRalph C. Ferrara|fFerrara, Ralph C.|p725
970 11 |l34.|tSelected Recent Developments in U.S. Securities
Laws and Corporate Finance, as of August 24, 2012|cJohn F.
Olson|fOlson, John F.|cJonathan C. Dickey|fDickey,
Jonathan C.|cStephen I. Glover|fGlover, Stephen I.|cBrian
J. Lane|fLane, Brian J.|cBradford P. Weirick|fWeirick,
Bradford P.|cRonald O. Mueller|fMueller, Ronald O.|cScott
J. Calfas|fCalfas, Scott J.|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|p767
970 11 |l35.|tU.S. v. Stevens, 771 F. Supp. 556 (D. MD. March 23,
2011)|cSubmitted by John F. Olson|fOlson, John F.|p997
970 11 |l36.|tU.S. vs. Stevens, Criminal Action: RWT 10 694 (D.
MD. May 10, 2011), See Chapter 28|cSubmitted by John F.
Olson|fOlson, John F.|p1011
970 11 |l37.|tSpeech by SEC Staff: Remarks to Criminal Law Group
of the UJA Federation of New York, by Robert S. Khuzami,
Director, Division of Enforcement, U.S. Securities and
Exchange Commission, New York City, June 1, 2011
|cSubmitted by John F. Olson|fOlson, John F.|p1013
970 11 |l38.|tSurviving a Restatement, Insights: The Corporate &
Securities Law Advisor Volume 26, Number 4, April 2012
|cSteven E. Bochner|fBochner, Steven E.|cJohn Huber|fHuber,
John J|p1025
970 11 |l39.|tTIAA CREF Policy Statement on Corporate Governance
|cSubmitted by Stephen L. Brown|fBrown, Stephen L.|p1045
970 11 |l40.|tTakeover and Activist Response Checklist and
Dealing with Activist Hedge Funds|cDavid A. Katz|fKatz,
David A. 1963|p1075
970 11 |l41.|tTakeover Law and Practice|cDavid A. Katz|fKatz,
David A. 1963|p1091
970 11 |l42.|tCorporate Governance Update: Advice For the Board
in CEO Selection and Succession Planning|cDavid A. Katz
|fKatz, David A. 1963|cLaura A. McIntosh|fMcIntosh, Laura
A.|p1261
970 11 |l43.|tCorporate Governance Update: Analyzing Aspects of
Board Composition|cDavid A. Katz|fKatz, David A. 1963
|cLaura A. McIntosh|fMcIntosh, Laura A.|p1275
970 11 |l44.|tCorporate Governance Update: ISS Policy Updates for
2012 Proxy Season|cDavid A. Katz|fKatz, David A. 1963
|cLaura A. McIntosh|fMcIntosh, Laura A.|p1287
970 11 |l45.|tCorporate Governance Update: Section 13(d)
Reporting Requirements Need Updating|cDavid A. Katz|fKatz,
David A. 1963|cLaura A. McIntosh|fMcIntosh, Laura A.|p1297
970 11 |l46.|tCorporate Governance Update: 'Say on Pay' in the
2012 Proxy Season|cDavid A. Katz|fKatz, David A. 1963
|cLaura A. McIntosh|fMcIntosh, Laura A.|p1309
970 11 |l47.|tBoard Oversight of Routine Shareholder Engagement
|cDavid B.H. Martin|fMartin, David B.H.|p1321
970 01 |tVolume Two
970 11 |l48.|tPublic Company Accounting Oversight Board Auditing
Standard No. 16 Communications with Audit Committees;
Related Standards; and Transitional Amendments to AU Sec.
380, PCAOB Release No. 2012 004, August 15, 2012
|cSubmitted by James R. Doty|fDoty, James R.|p23
970 11 |l49.|tReport on the Progress of the Interim Inspection
Program Related to Audits of Brokers and Dealers, PCAOB
Release No. 2012 005, August 20, 2012|cSubmitted by James
R. Doty|fDoty, James R.|p181
970 11 |l50.|tInformation for Audit Committees About the PCAOB
Inspection Process, PCAOB Release No. 2012 003, August 1,
2012|cSubmitted by James R. Doty|fDoty, James R.|p219
970 11 |l51.|tPCAOB Proposed Auditing Standard Related Parties,
Proposed Amendments to Certain PCAOB Auditing Standards
Regarding Significant Unusual Transactions and Other
Proposed Amendments to PCAOB Auditing Standards, PCAOB
Release No. 2012 001, February 28, 2012, PCAOB Rulemaking
Docket Matter No. 038|cSubmitted by John W. White|fWhite,
John W.|p257
970 11 |l52.|tStill No Decision, SEC Issues Final Report on
Incorporation of IFRSs, Deloitte Heads Up, July 19, 2012,
Volume 19, Issue 15|cSubmitted by Joseph B. Ucuzoglu
|fUcuzoglu, Joseph B.|p381
970 11 |l53.|tInformation for Audit Committees About the PCAOB
Inspection Process, Deloitte Heads Up, August 30, 2012,
Volume 19, Issue 20|cSubmitted by Joseph B. Ucuzoglu
|fUcuzoglu, Joseph B.|p393
970 11 |l54.|tWork Plan for the Consideration of Incorporating
International Financial Reporting Standards Into the
Financial Reporting System for U.S. Issuers, Final Staff
Report, July 13, 2012, Office of the Chief Accountant,
United States SEC|cSubmitted by John W. White|fWhite, John
W.|p405
970 11 |l55.|tOutline of Recent SEC Enforcement Actions Recent
Highlights Through July 31, 2011|cSubmitted by Robert S.
Khuzami|fKhuzami, Robert S.|cAmy Luo|fLuo, Amy|cLauren
Dies|fDies, Lauren|cMiles Greaves|fGreaves, Miles|p547
970 11 |l56.|tRecent Developments in the SEC Cooperation
Initiative|cDixie L. Johnson|fJohnson, Dixie L.|cCarmen J.
Lawrence|fLawrence, Carmen J. Carmen Judith 1956|cJonathan
A. Forman|fForman, Jonathan A.|cJessica P. Neiterman
|fNeiterman, Jessica P.|cBrenna C. Terry|fTerry, Brenna C.
|cSonya Tien|fTien, Sonya|p759
970 11 |l57.|tRecent Developments in SEC Enforcement and Internal
Investigations|cCollen P. Mahoney|fMahoney, Colleen P.
1957|cCharles F. Walker|fWalker, Charles F.|cErich T.
Schwartz|fSchwartz, Erich T.|cLouis D. Greenstein
|fGreenstein, Louis D.|cAndrew M. Lawrence|fLawrence,
Andrew M.|p779
970 11 |l58.|tJuggling Criminal, Civil and Multinational
Investigations|cBruce E. Yannett|fYannett, Bruce E.|cErich
O. Grosz|fGrosz, Erich O.|p851
970 11 |l59.|tWhistleblower Hypothetical|cRobert H. Mundheim
|fMundheim, Robert H.|p879
970 11 |l60.|tU.S. v. Quest Diagnostics Inc., 2011 WL 1330542
(S.D.N.Y. Apr. 5, 2011)|cSubmitted by Linda Chatman
Thomsen|fThomsen, Linda Chatman|p885
970 11 |l61.|tPublic Statement by SEC Official: Letter Regarding
Washington State Bar Association's Proposed Opinion on the
Effect of the SEC's Attorney Conduct Rules, by Giovanni P.
Prezioso, General Counsel, U.S. Securities and Exchange
Commission, July 23, 2003|cSubmitted by Linda Chatman
Thomsen|fThomsen, Linda Chatman|p901
970 11 |l62.|tThe Supreme Court Will Address Whether Plaintiffs
Must Establish Materiality to Obtain Class Certification
Under the Fraud on the Market Theory|cBruce D. Angiolillo
|fAngiolillo, Bruce D.|p909
970 11 |l63.|tA Review of Decisions Applying the Supreme Court's
Ruling in Janus Capital Group, Inc. v. First Derivative
Traders|cBruce D. Angiolillo|fAngiolillo, Bruce D.|p919
970 11 |l64.|tWidener Law, the Institute of Delaware Corporate &
Business Law, On Line Symposium: Default Fiduciary Duties
in LLCs and LPs|cSubmitted by Lawrence A. Hamermesh
|fHamermesh, Lawrence A.|p947
970 11 |l65.|tArbitration in the Delaware Court of Chancery,
Insights: The Corporate & Securities Law Advisor, Volume
25, Number 7, July 2011|cGregory P. Williams|fWilliams,
Gregory P.|cGregory V. Varallo|fVarallo, Gregory V. 1959
|cJillian Remming|fRemming, Jillian|cA. Jacob Werrett
|fWerrett, A. Jacob|p1001
970 11 |l66.|tDelaware Coalition for Open Government v. Strine,
Civil Action No. 1:11 1015 (D. Del. Aug. 30, 2012
|cSubmitted by Gregory V. Varallo|fVarallo, Gregory V.
1959|p1011
970 11 |l67.|tSome Thoughts for Board of Directors in 2012
|cMartin Lipton|fLipton, Martin|cSteven A. Rosenblum
|fRosenblum, Steven A.|cKaressa L. Cain|fCain, Karessa L.
|p1043
970 11 |l68.|tSocial Issues in Selected Recent Mergers and
Acquisitions Transactions 2004-2012 Supplement|cRobert E.
Spatt|fSpatt, Robert E.|cAriana S. Cooper|fCooper, Ariana
S.|p1059
970 11 |l69.|tSelected Legal Issues Relating to the Selection and
Implementation of Differing Forms of Consideration in M&A
Transactions|cRobert E. Spatt|fSpatt, Robert E.|p1137
970 11 |l70.|tThe Four Ring Circus Round Sixteen; A Further
Updated View of the Mating Dance Among Announced Merger
Partners and An Unsolicited Second or Third Bidder|cRobert
E. Spatt|fSpatt, Robert E.|cPeter Martelli|fMartelli,
Peter|p1187
970 11 |l71.|tSimpson Thacher Memorandum: Delaware Chancery Court
Reaffirms Poison Pill and "Just Say No" Defense in Airgas
Takeover Battle|cSubmitted by Robert E. Spatt|fSpatt,
Robert E.|p1277
970 11 |l72.|tSimpson Thacher Memorandum: Delaware Chancery Court
Addresses Revlon Applicability in Cash/Stock Transactions
|cSubmitted by Robert E. Spatt|fSpatt, Robert E.|p1285
998 |cSRA
