MARC 主机 00000nam 2200000Ia 4500
001 ocn761328674
003 OCoLC
005 20111118091714.0
008 111117s2011 nyua b 101 0 eng
020 9781402416781
020 1402416784
035 (OCoLC)761328674
040 SLA|cSLA
043 n-us---
049 SLAA
079 ocn761328673
090 KF1440|b.I525 2011
111 2 Institute on Securities Regulation|n(43rd :|d2011 :|cNew
York, N.Y.)
245 10 43rd annual Institute on Securities Regulation /|cco-
chairs, Steven E. Bochner, Stanley Keller, Colleen P.
Mahoney.
246 3 Forty-third annual Institute on Securities Regulation
246 10 Annual Institute on Securities Regulation
260 New York, N.Y. :|bPractising Law Institute,|cc2011.
300 2 v. (1443, 1207 p.):|bill. ;|c23 cm.
490 1 Corporate law and practice course handbook series ;|vno. B
-1917, B-1918
500 "Prepared for distribution at the 43rd Annual Institute on
Securities Regulation, New York Hilton, New York City,
November 9-11, 2011, live webcast: www.pli.edu "--P. 5.
500 Index begins with letter C and is erratic.
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 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
-1917, B-1918.
955 |qnew1111|qna1111
970 01 |tVolume One
970 11 |tUpdate from the Division of Corporate Finance|p119
970 11 |l1.|tImplementing Dodd-Frank Wall Street Reform and
Consumer Protection Act--Upcoming Activity|cSubmitted by
Meredith B. Cross|fCross, Meredith B.|p121
970 11 |tDealing with Challenging Corporate Problems:
Hypothetical Scenarios|p131
970 11 |l2.|tDo You Have a Duty to Update Forward-Looking
Statements? Well, that Depends|cNicki Locker|fLocker,
Nicki|cChrissy Fillip|fFillip, Chrissy|p133
970 11 |l3.|tFive Practical Tips for Protecting Your Company in
the New Era of Whistleblowing|cLee Cunningham|fCunningham,
Lee|cSubmitted by: Nicki Locker|fLocker, Nicki|p143
970 11 |l4.|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.
|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|p149
970 11 |l5.|tSEC Adopts Final Rules Implementing Whistleblower
Provisions of Dodd-Frank|cSubmitted by John F. Olson
|fOlson, John F.|p299
970 11 |l6.|tU.S. Securities and Exchange Commission Litigation
Release No. 21703, Accounting Auditing Enforcement Release
No. 3199, Securities and Exchange Commission v. Office
Depot Inc., Civ. Action No. 9:10-CV-81239 (S.D. Fla. Oct.
21, 2010), SEC Charges Office Depot with Improper
Disclosures to Analysts|cSubmitted by John F. Olson|fOlson,
John F.|p311
970 11 |l7.|tIn the Matter of Stephen A. Odland, Release No.
63153/October 21, 2010, Order Instituting Cease-and-Desist
Proceedings Pursuant to Section 21 C of the Securities and
Exchange Act of 1934, Making Findings, and Imposing a
Cease-and-Desist Order|cSubmitted by John F. Olson|fOlson,
John F.|p317
970 11 |tCapital Markets in 2012|p327
970 11 |l8.|tCapital Markets Regulatory Developments|cDavid M.
Lynn|fLynn, David M.|p329
970 11 |l9.|tDevelopments in the Regulation of Credit Ratings and
Their Effects on Capital Markets Practices|cDavid B.H.
Martin|fMartin, David B.H.|cMatthew C. Franker|fFranker,
Matthew C.|p397
970 11 |tDisclosure and Compensation Challenges|p423
970 11 |l10.|tDisclosure and Compensation Challenges|cSubmitted
by Mark A. Borges|fBorges, Mark A.|p425
970 11 |l11.|tSEC Initiates Rulemaking for Compensation Committee
/Committee Adviser Independence Standards|cSubmitted by
Mark A. Borges|fBorges, Mark A.|p433
970 11 |l12.|tMD&A Risk-Related Disclosures in 2011|cCatherine T.
Dixon|fDixon, Catherine T., 1955-|p441
970 11 |l13.|tExperience with the Dodd-Frank Compensation
Requirements|cMartin P. Dunn|fDunn, Martin P.|p473
970 11 |l14.|tSecurities Law Disclosure After Sarbanes-Oxley and
Dodd-Frank|cHerbert S. Wander|fWander, Herbert S.|p493
970 11 |tKeynote Address|p921
970 11 |l15.|tThe PCAOB's Policy Agenda to Enhance the Relevance,
Credibility and Transparency of Audits|cJames R. Doty
|fDoty, James R.|p923
970 11 |l16.|tConcept Release on Auditor Independence and Audit
Firm Rotation; Notice of Roundtable, PCAOB Release No.
2011-006, August 16, 2011, PCAOB Rulemaking Docket Matter
No. 37|cSubmitted by James R. Doty|fDoty, James R.|p931
970 11 |tView from the General Counsel's Office|p973
970 11 |l17.|tForeign Private Issuers in the U.S.--The View from
Germany|cPeter Y. Solmssen|fSolmssen, Peter Y.|p975
970 11 |l18.|tA Closer Look at Negative Say-On-Pay Votes During
the 2011 Proxy Season, Director Notes, The Conference
Board, July 2011|cSubmitted by Brett A. Pletcher|fPletcher,
Brett A.|p985
970 11 |l19.|tSay On Pay in the 2011 Proxy Season: Lessons
Learned and Coming Attractions for U.S. Public Companies,
Director Notes, The Conference Board, July 2011|cSubmitted
by Brett A. Pletcher|fPletcher, Brett A.|p997
970 11 |l20.|tShareholders Have Their Say on Pay, but What
Exactly Are They Saying? The Advisor, July 2011|cSubmitted
by Brett A. Pletcher|fPletcher, Brett A.|p1011
970 11 |l21.|tShareholders Have Their Say on Pay, but What Are
the Proxy Firms Saying? The Advisor, August 2011
|cSubmitted by Brett A. Pletcher|fPletcher, Brett A.|p1023
970 11 |l22.|tSay on Pay So Far, The Harvard Law School Forum on
Corporate Governance and Financial Regulation, Posted by
Jeremy L. Goldstein, Wachtell, Lipton, Rosen & Katz, on
May 24, 2011|cSubmitted by Brett A. Pletcher|fPletcher,
Brett A.|p1033
970 11 |l23.|tClawbacks Under Dodd-Frank and Other Federal
Statutes, The Harvard Law School Forum on Corporate
Governance and Financial Regulation, Posted By Jospeh E.
Bachelder, on June 9, 2011|cSubmitted by Brackett B.
Denniston, III|fDenniston, Brackett B.|p1041
970 11 |l24.|tWhistleblower Protections Under Sarbanes-Oxley and
the Dodd-Frank Act|cSubmitted by Brackett B. Denniston,
III|fDenniston, Brackett B.|p1051
970 11 |l25.|tSummary of the Dodd-Frank Act: Executive
Compensation|cSubmitted by Brackett B. Denniston, III
|fDenniston, Brackett B.|p1067
970 11 |l26.|tWritten Testimony of Harvey L. Pitt Before the
United States Senate Banking Committee on "Enhanced
Investor Protection After the Financial Crisis" (July 12,
2011)|cSubmitted by Brackett B. Denniston, III|fDenniston,
Brackett B.|p1077
970 11 |tThe Changing Dynamic of Director-Shareholder Relations
and Voting|p1099
970 11 |l27.|tThe Changing Dynamics of Director-Shareholder
Relations and Voting|cSubmitted by Herbert S. Wander
|fWander, Herbert S.|p1101
970 11 |l28.|tReport on the Roles of Boards of Directors and
Shareholders of Publicly Owned Corporations and Changes to
the Model Business Corporation Act--Adoption of
Shareholder Proxy Access Amendments to Chapters 2 and 10,
The Business Lawyer, Vol. 65, August 2010|cSubmitted by
Herbert S. Wander|fWander, Herbert S.
970 11 |tIssues Affecting Private Companies|p1129
970 11 |l29.|tIssues Affecting Private Companies: Overview of
Topics to be Discussed|cBrian V. Breheny|fBreheny, Brian
V.|p1131
970 11 |l30.|tMemorandum RE: Secondary Transactions in Client
Shares: October 2010|cSubmitted by Horace Nash|fNash,
Horace|p1269
970 11 |tWhat You Need to Know About Legal Opinion Practice|p1301
970 11 |l31.|tCross-Border Third-Party Closing Opinions: Reliance
on Customary Practice and Selected Issues for U.S. Lawyers
in Giving Opinions in Foreign Transactions|cEttore A.
Santucci|fSantucci, Ettore A.|p1303
970 11 |tDevelopments in M&A Practice|p1315
970 11 |l32.|tSelected Legal Issues Relating to the Selection and
Implementation of Differing Forms of Consideration in M&A
Transactions|cRobert E. Spatt|fSpatt, Robert E.|p1317
970 11 |l33.|tSocial Issues in Selected Recent Mergers and
Acquisitions Transactions, 2004-2011 Supplement|cRobert E.
Spatt|fSpatt, Robert E.|p1359
970 01 |tVolume Two
970 11 |tDevelopments in M&A Practice (Continued)|p19
970 11 |l34.|tTakeover Law and Practice 2011|cSteven A. Rosenblum
|fRosenblum, Steven A.|p21
970 11 |tA New Era in Enforcement|p201
970 11 |lA.|tAn Interview with Key Enforcement Officials|p203
970 11 |l35.|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 Mary Jo White|fWhite, Mary Jo, 1947-|p205
970 11 |l36.|tPrepared Remarks of the U.S. Attorney Preet Sharara,
SIFMA's Compliance and Legal Society Annual Seminar, March
21, 2011, Phoenix, Arizona|cSubmitted by Mary Jo White
|fWhite, Mary Jo, 1947-|p217
970 11 |l37.|tOutline of Recent SEC Enforcement Actions
|cSubmitted by Robert S. Khuzami|fKhuzami, Robert S.|p231
970 11 |lB.|tPractical Issues When Handling a Government
Investigation|p465
970 11 |l38.|tMaximizing the End-Game Toward Settlement or
Litigation: Strategies and Considerations|cCarmen J.
Lawrence|fLawrence, Carmen J. (Carmen Judith), 1956-
|cDixie L. Johnson|fJohnson, Dixie L.|cJonathan A. Forman
|fForman, Jonathan A.|p467
970 11 |l39.|tThe Expanding Role of Judges in Settlement and
Beyond|cLinda Chatman Thomsen|fThomsen, Linda Chatman|p487
970 11 |l40.|tJuggling Criminal, Civil and Multinational
Investigations|cBruce E. Yannett|fYannett, Bruce E.|cDavid
M. Fuhr|fFuhr, David M.|p505
970 11 |l41.|tTrends in SEC Enforcement|cColleen 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.|p531
970 11 |tKey Issues in Private Securities Litigation|p611
970 11 |l42.|tKey Issues in Private Securities Litigation|cBruce
D. Angiolillo|fAngiolillo, Bruce D.|p613
970 11 |l43.|tRecent Supreme Court Guidance on Claims Under
Section 10(b) and Rule 10b-5|cKarin A. DeMasi|fDeMasi,
Karin A.|cShawndra G. Jones|fJones, Shawndra G.|p627
970 11 |l44.|tCorporate Governance & Private Securities
Litigation|cRalph C. Ferrara|fFerrara, Ralph C.|p643
970 11 |tAccounting and Auditing Developments Lawyers Must Know
|p687
970 11 |l45.|tInternational Financial Reporting Standards for
U.S. Issuers--No Easy Right Answer|cLinda L. Griggs
|fGriggs, Linda L.|p689
970 11 |l46.|tTrends in SEC Comments|cMichael J. Gallagher
|fGallagher, Michael J.|p717
970 11 |l47.|tRecent Work of the Public Company Accounting
Oversight Board|cSubmitted by Jay D. Harison|fHarison, Jay
D.|p727
970 11 |l48.|tScaling the Great Wall of Accounting Issues in
Chinese Reverse Mergers|cJohn H. Huber|fHuber, John J.
|cJennifer A. Hult|fHult, Jennifer A.|p801
970 11 |tIntersection of Legal Ethics and Financial Reporting
|p837
970 11 |l49.|tU.S. GAAP Accounting Treatment for Loss
Contingencies (as of August 2011)|cSubmitted by John W.
White|fWhite, John W.|p839
970 11 |l50.|tPCAOB Keynote Address: The Global Dimension
Conference on Audit Policy, James R. Doty, Chairman, FEE
Conference on Audit Policy, Brussels, Belgium|cSubmitted
by John W. White|fWhite, John W.|p843
970 11 |l51.|tEdwards Angell Palmer & Dodge LLP Client Advisory,
February 2011: Clearing Up Confusion Over Audit Response
Letters|cStanley Keller|fKeller, Stanley|cSubmitted by
John W. White|fWhite, John W.|p855
970 11 |l52.|tAccounting Standards Codification 450,
"Contingencies" Analysis|cSubmitted by John W. White
|fWhite, John W.|p861
970 11 |l53.|tPCAOB Requests Feedback on Auditor Independence and
Audit Firm Rotation, KPMG Defining Issues, August 2011,
No. 11-46|cSubmitted by Sam Ranzilla|fRanzilla, Sam|p865
970 11 |l54.|tFASB Delays Proposed Loss Contingency Disclosures,
KPMG Defining Issues, October 2010, No. 10-46|cSubmitted
by Sam Ranzilla|fRanzilla, Sam|p871
970 11 |l55.|tFASB Issues Revised Exposure Draft on Loss
Contingency Disclosures, KPMG Defining Issues, July 2010,
No. 10-29|cSubmitted by Sam Ranzilla|fRanzilla, Sam|p875
970 11 |l56.|tLitigation Contingency Reporting: Where Are We With
FASB and the SEC?|cSubmitted by Michael R. Young|fYoung,
Michael R.|p885
970 11 |l57.|tSEC Chief Accountant of Corporation Finance Warns
Against Over-Reliance on ABA "Treaty" in Reporting
Litigation Contingencies|cMichael R. Young|fYoung, Michael
R.|p917
970 11 |tUnderstanding Delaware Corporate Law Developments|p923
970 11 |l58.|tRecent Developments in Delaware Corporate Law
|cGregory V. Varallo|fVarallo, Gregory V., 1959-|cA. Jacob
Werrett|fWerrett, A. Jacob|p925
970 11 |l59.|tMergers and Acquisitions--A Delaware Checklist
|cFrederick Alexander|fAlexander, Frederick H., 1963-
|p1061
970 11 |l60.|tAirgas: Opportunity Blocked|cPamela S. Tikellis
|fTikellis, Pamela|p1185
998 |cSRA
