PROGRAM SCHEDULE FACULTY BIOS... 29

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1 Prepared for distribution at the UNDERSTANDING THE SECURITIES LAWS FALL 2015 Program Chicago, October New York City, Groupcast Locations and Live Webcast December CONTENTS: PROGRAM SCHEDULE FACULTY BIOS Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Introduction to Securities Law (PowerPoint slides)

2 6. Registering Securities Under the Securities Act of 1933 (Substantive Outline) R. Cabell Morris, Jr. Winston & Strawn LLP 7. Reg. S-K and Reg. S-X: The Backbones of 1933 Act and 1934 Act Filings (PowerPoint slides) Exemptions from Registration Under the Securities Act; Private Placements (Substantive Outline) Kevin E. Slaughter Quarles & Brady LLP 9. Anna T. Pinedo and James R. Tanenbaum, Ch. 2: Private Placements An Overview, Practising Law Institute, Exempt and Hybrid Securities Offerings (2nd Edition) (November 2014) Anna T. Pinedo Morrison & Foerster LLP 10. Morrison & Foerster LLP, Matchmaking Basics: How It Works, Current Regulations and Key Considerations Anna T. Pinedo Morrison & Foerster LLP 11. Marty Dunn, et al., Morrison & Foerster LLP, Client Alert, Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015) Anna T. Pinedo Morrison & Foerster LLP 12. Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Rule 144A Anna T. Pinedo Morrison & Foerster LLP 6

3 13. Ze -ev D. Eiger and Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Regulation S Anna T. Pinedo Morrison & Foerster LLP 14. Sidley Austin LLP, Corporate Governance Update, SEC Adopts CEO Pay Ratio Disclosure Rule Required By Dodd-Frank (August 12, 2015) Gary D. Gerstman Sidley Austin LLP 15. Sidley Austin LLP, Corporate Governance and Executive Compensation Update, SEC Proposes Compensation Clawback Rules (July 7, 2015) Gary D. Gerstman Sidley Austin LLP 16. Life as a Public Company: Securities Exchange Act of 1934 Overview and Other Matters (PowerPoint slides) Michele R. Chaffee Career Education Corporation Gary D. Gerstman Sidley Austin LLP 17. Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (July 2015) Raymond Y. Lin Richard F. Langan, Jr. Nixon Peabody LLP 18. Alston & Bird LLP, Private Securities Litigation Reform Act Major Developments and Issues Lisa R. Bugni Alston & Bird LLP 7

4 19. William R. Baker III, et al., Latham & Watkins, Client Alert, Commentary, No. 1852, The Circuits Are Split: Are Tangible Benefits Required for Insider Trading Liability? (July 10, 2015) John J. Sikora Jr. 20. William R. Baker III, et al., Latham & Watkins, Client Alert, Commentary, No. 1833, SEC Enforcement Division Issues Guidance on Venue Selection (May 18, 2015) John J. Sikora Jr. 21. John J. Sikora Jr. & Eric R. Swibel, Latham & Watkins, Client Alert, Commentary, No. 1818, Multitudes, Multitudes: The SEC s Asset Management Unit Delivers Important Messages for Investment Advisers (April 10, 2015) John J. Sikora Jr. 22. Lawrence A. West & Eric R. Swibel, Latham & Watkins, Client Alert, News Flash, No. 1815, SEC Sends Message Via Enforcement Action: Don t Stifle Employee Whistleblowing (April 2, 2015) Submitted by John J. Sikora Jr. 23. John J. Sikora Jr. & Nabil Sabki, Latham & Watkins, Client Alert, Commentary, No. 1773, Private Equity Fund Managers: Takeaways From The SEC s Past Year in Enforcement (December 8, 2014) John J. Sikora Jr. 24. Liability for Securities Law Violations (Substantive Outline) Douglas Koff Kelly Koscuiszka Bracewell & Giuliani LLP 8

5 25. Insiders and Affiliates Overview of Section 16 and Section 13 of the Exchange Act and Certain Resale Considerations Under the Securities Laws (Substantive Outline) Jennifer L. Nadborny Simpson Thacher & Bartlett LLP 26. Simpson Thacher, Memorandum, SEC Charges Eight Insiders For Failing to Update Stock Ownership Disclosures (April 3, 2015) Jennifer L. Nadborny Simpson Thacher & Bartlett LLP 27. Simpson Thacher, Memorandum, SEC Charges 34 Insiders, Shareholders and Public Companies with Delinquencies in Reporting Stock Holdings and Trades (September 22, 2014) Jennifer L. Nadborny Simpson Thacher & Bartlett LLP 28. Rhonda Brauer, Chris Hayden, William Fiske & Rajeev Kumar, CFA,, 2015 Proxy Season Update (August 13, 2015) , Practical Implications of SEC Reversal on Shareholder Proposal Exclusion (January 29, 2015) Rajeev Kumar, CFA,, ISS Policy Updates (November 20, 2014)

6 31., Proxy Fight Primer (August 13, 2015) Rajeev Kumar, CFA & William Fiske,, Prepare for Shareholder Activism in 2015 (January 12, 2015) Christopher M. Hayden,, Practical Considerations for Your First Annual Meeting (July 2014) Regulation of Proxy Solicitation (Substantive Outline) (August 2015) David K. Boston Willkie Farr & Gallagher LLP 35. Shearman & Sterling LLP, The SEC s Final Pay Ratio Rules: What You Need to Know (August 10, 2015) Linda E. Rappaport Shearman & Sterling LLP 36. Shearman & Sterling LLP, SEC Proposes Highly Anticipated Clawback Rules (July 9, 2015) Linda E. Rappaport Shearman & Sterling LLP 37. Shearman & Sterling LLP, SEC Proposes Long-Awaited Pay for Performance Rules (May 4, 2015) Linda E. Rappaport Shearman & Sterling LLP 10

7 38. Shearman & Sterling LLP, SEC Proposes Equity Hedging Disclosure Rules Under Dodd-Frank (February 19, 2015) Linda E. Rappaport Shearman & Sterling LLP 39. Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions (Substantive Outline) (August 31, 2015) Kimberly A. debeers Hagen J. Ganem Skadden, Arps, Slate, Meagher & Flom LLP 40. Andrew R. Brownstein, Steven A. Rosenblum, David A. Katz & Sabastian V. Niles, Wachtell, Lipton, Rosen & Katz, Winning a Proxy Fight Lessons from the DuPont-Trian Vote (May 18, 2015) Trevor S. Norwitz Wachtell, Lipton, Rosen & Katz 41. Martin Lipton, Sabastian V. Niles & Sara J. Lewis, Wachtell, Lipton, Rosen & Katz, Recognition of the Threat to Shareholders and the Economy from Attacks by Activist Hedge Funds (December 22, 2014, Updated January 23, 2015) Trevor S. Norwitz Wachtell, Lipton, Rosen & Katz 42. The SEC s New Pay Ratio Disclosure Rule (August 13, 2015) Cleary Gottlieb, Alert Memorandum, S.D.N.Y. District Court Holds Trust Indenture Act Limits Ability of Issuer to Restructure Bonds of Dissenting Bondholders Outside of Bankruptcy (June 30, 2015) Adam Fleisher Cleary Gottlieb Steen & Hamilton LLP 11

8 44. Savaria B. Harris & Mitka T. Baker, Dodd-Frank & SOX: What Companies Should Be Thinking About Now that Whistleblowing Has Become White Collar (February 23, 2015), available at Savaria B. Harris Mitka T. Baker DLA Piper LLP (US) 45. Savaria B. Harris & Mitka T. Baker, DLA Piper, Litigation Alert (US), White Collar Crime Update, Higher Burdens in SOX Whistleblower Retaliation Claims 5 Tips for Employers (December 10, 2014) Savaria B. Harris DLA Piper LLP (US) 46. Legal Ethics: Recent Ethics Opinions (Substantive Outline) Marjorie E. Gross New York State Bar Association Committee on Professional Ethics Law Office of Marjorie E. Gross 47. Ethics: Selected Materials, Selected Excerpts from the New York State Rules of Professional Responsibility, Effective April 1, 2009 and as amended through May 1, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, In re: Kohlberg Kravis Roberts & Co., Investment Advisers Act of 1940, Release No. 4131, Administrative Proceeding File No (SEC June 29, 2015)

9 49. United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Laws and Regulations United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Employee Standards of Conduct C.F.R , , , Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Current Government Employees U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Volume IV, Issue 4, Cybersecurity Examination Sweep Summary (February 3, 2015) U.S. Securities and Exchange Commission, SEC Enforcement Actions: FCPA Cases

10 55. Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In re: BHP Billiton Ltd. and BHP Billiton Plc, Securities Exchange Act of 1934 Release No , Administrative Proceeding File No (SEC May 20, 2015) U.S. Securities and Exchange Commission, Press Release, No , SEC Charges BNY Mellon With FCPA Violations (August 18, 2015) U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Investor Bulletin: The Foreign Corrupt Practices Act Prohibition of the Payment of Bribes to Foreign Officials (October 2011) When Finders and Other Intermediaries Are Required to Register as Broker-Dealers, A Case Study in Advising Clients Peter W. LaVigne Goodwin Procter LLP INDEX Program Attorney: Danielle B. Cohen 14

Equity Value $m Equity Value $m Equity Value % Change 2015 to Rank. Deal Count Deal Count. Rank 2016

Equity Value $m Equity Value $m Equity Value % Change 2015 to Rank. Deal Count Deal Count. Rank 2016 Public Mergers & Acquisitions (US & Non-US Targets) Deal Point Data rankings include mergers & acquisitions with a US or non-us public target and at least one SEC filer participant. Top Target and Acquirer