VOLUME ONE PROGRAM SCHEDULE FACULTY BIOS

Transcription

1 Prepared for distribution at the 45TH ANNUAL INSTITUTE ON SECURITIES REGULATION New York Hilton, New York City, November 6 8, 2013 Live Webcast: CONTENTS: VOLUME ONE PROGRAM SCHEDULE FACULTY BIOS INTEGRATION OF PRIVATE AND PUBLIC OFFERINGS UPDATE Stanley Keller Edwards Wildman Palmer LLP 2. EDWARDS WILDMAN CLIENT ADVISORY: SEC ADOPTS RULES ON GENERAL SOLICITATION THAT FUNDAMENTALLY CHANGE PRIVATE CAPITAL RAISING AND PROPOSES FURTHER REVISIONS, JULY Stanley Keller Edwards Wildman Palmer LLP 3. GENERAL SOLICITATION: WHAT CONGRESS GIVETH, THE SEC PROPOSES TO TAKETH AWAY Stanley Keller Edwards Wildman Palmer LLP 4. ALTERNATIVES TO REGISTRATION CHART Stanley Keller Edwards Wildman Palmer LLP Jean E. Harris Greenberg Traurig, LLP Richard M. Leisner Trenam Kemker, P.A. 1-5

2 5. SEC PRESS RELEASE: SEC APPROVES JOBS ACT REQUIREMENT TO LIFT GENERAL SOLICITATION BAN, JULY 10, SEC FACT SHEET: ELIMINATING THE PROHIBITION ON GENERAL SOLICITATION AND GENERAL ADVERTISING IN CERTAIN OFFERINGS, SEC OPEN MEETING, JULY 10, SEC FACT SHEET: PROPOSING AMENDMENTS TO PRIVATE OFFERING RULES, SEC OPEN MEETING, JULY 10, SEC FACT SHEET: DISQUALIFICATION OF FELONS AND OTHER BAD ACTORS FROM RULE 506 OFFERINGS, SEC OPEN MEETING, JULY 10, SEC FAQs ON CONFLICT MINERALS, MAY 30, SECTION 13(r) CDIs EXCHANGE ACT CDIs THROUGH Keith F. Higgins U.S. Securities and Exchange Commission 11. SOCIAL MEDIA AND REGULATION FD Meredith B. Cross Ian C. Wildgoose Brown Jennifer A. Zepralka Wilmer Cutler Pickering Hale and Dorr LLP 12. SOCIAL MEDIA AND REGULATION FD IN A POST-NETFLIX WORLD Catherine T. Dixon Weil Gotshal & Manges LLP 1-6

3 13. SEC DECLINES ENFORCEMENT ACTION IN NETFLIX REG FD MATTER AND ISSUES SOCIAL MEDIA GUIDANCE Steven E. Bochner Wilson Sonsini Goodrich & Rosati 14. CalSTRS CORPORATE GOVERNANCE 2013 ANNUAL REPORT, SPRING, John W. White Cravath, Swaine & Moore LLP 15. VIEWPOINTS FOR THE AUDIT COMMITTEE LEADERSHIP SUMMIT, BOARD-SHAREHOLDER ENGAGEMENT, ISSUE 21: 2 MAY John W. White Cravath, Swaine & Moore LLP 16. EQUILAR OUTLOOK ON 2013 SAY ON PAY RESPONSES John W. White Cravath, Swaine & Moore LLP 17. SEMLER BROSSY, 2013 SAY ON PAY RESULTS, RUSSELL 3000, JULY 31, John W. White Cravath, Swaine & Moore LLP 18. THE CONFERENCE BOARD, PROXY VOTING FACT SHEET, JULY John W. White Cravath, Swaine & Moore LLP 1-7

4 19. UNITED 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 a. Committee Memorandum, May 31, b. Statement of the U.S. Chamber of Commerce, by Harvey Pitt, June 5, c. Written Statement of Katherine H. Rabin, Chief Executive Officer, Glass, Lewis & Co., June 12, d. Statement of Gary Retelny, President, Institutional Shareholder Services Inc. to the Subcommittee on Capital Markets and Government Sponsored Enterprises, Committee on Financial Services, United States House of Representatives, June 5, John W. White Cravath, Swaine & Moore LLP 20. TIAA-CREF POLICY STATEMENT ON CORPORATE GOVERNANCE, 6 TH EDITION Stephen L. Brown TIAA-CREF PROXY SEASON REVIEW, UNITED STATES Gary Retelny ISS Inc. 22. PREPARED REMARKS OF U.S. ATTORNEY PREET BHARARA, CITIZENS CRIME COMMISSION, THE CYBER THREAT: ARE GOVERNMENT AND INDUSTRY OUTGUNNED?, APRIL 16, Richard H. Walker Deutsche Bank AG 1-8

5 23. KAYE SCHOLER WHITE COLLAR/FCPA ALERT: SEC AND DOJ REWARD RALPH LAUREN FOR SELF-REPORTING FCPA VIOLATIONS, APRIL 23, Richard H. Walker Deutsche Bank AG 24. SIDLEY 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, Richard H. Walker Deutsche Bank AG 25. SIDLEY AUSTIN LLP FCPA UPDATE: DOJ & SEC RELEASE LONG ANTICIPATED FCPA GUIDE, NOVEMBER 15, Richard H. Walker Deutsche Bank AG 26. GIBSON DUNN 2012 YEAR-END FCPA UPDATE, JANUARY 2, Richard H. Walker Deutsche Bank AG 27. MANAGING A CORPORATE CRISIS: THE TEN COMMANDMENTS OF CRISIS MANAGEMENT John F. Savarese Wachtell, Lipton, Rosen & Katz Richard H. Walker Deutsche Bank AG 28. PEARL MEYER & PARTNERS, TRENDS AND ISSUES, SAY ON PAY GAME PLAN: A BEST PRACTICE PROCESS FOR OVERCOMING A NEGATIVE VOTE Richard H. Walker Deutsche Bank AG 1-9

6 29. SULLIVAN & CROMWELL LLP MEMORANDUM, SAY-ON-PAY REVIEW OF 2012 PROXY SEASON RESULTS, JULY 17, Richard H. Walker Deutsche Bank AG 30. MEMORANDUM 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, Bradley E. Lerman Federal National Mortgage Association 31. U.S. CYBERSECURITY S PATH FROM LEGISLATIVE DEBATE TO EXECUTIVE ACTION, CORPORATE COUNSEL, AUGUST 9, Bradley E. Lerman Federal National Mortgage Association 32. DEBEVOISE & 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 Louise M. Parent American Express Company 33. DEBEVOISE & PLIMPTON LLP FCPA UPDATE, SPOTLIGHT ON LATIN AMERICA: OVERVIEW, MARCH 2013, VOL. 4, NO Louise M. Parent American Express Company 1-10

7 34. DEBEVOISE & PLIMPTON LLP FCPA UPDATE, SPOTLIGHT ON SOUTHEAST ASIA, JUNE 2013, VOL. 4, NO Louise M. Parent American Express Company 35. DEBEVOISE & 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 Louise M. Parent American Express Company 36. SULLIVAN & CROMWELL LLP MEMORANDUM, ADJUSTING TO SHAREHOLDER ACTIVISM, AUGUST 22, Gloria Santona McDonald s Corporation 37. THE EVOLVING RESPONSIBILITIES OF AUDIT COMMITTEES, AUGUST Linda L. Griggs Morgan, Lewis & Bockius LLP 38. THE SEC S RENEWED INTEREST IN ACCOUNTING CASES A NEW BEGINNING, OR A VICTIM OF FAIT? SEPTEMBER Linda L. Griggs Morgan, Lewis & Bockius LLP John J. Huber FTI Consulting, Inc. Christian J. Mixter Morgan, Lewis & Bockius LLP 39. CURRENT FASB PROJECTS THAT MAY AFFECT LAWYERS, AUGUST Linda L. Griggs Morgan, Lewis & Bockius LLP 1-11

8 40. PCAOB RELEASE NO , AUGUST 13, 2013, PROPOSED AUDITING STANDARDS THE AUDITOR S REPORT ON AN AUDIT OF FINANCIAL STATEMENTS WHEN THE AUDITOR EXPRESSES AN UNQUALIFIED OPINION; THE AUDITOR S RESPONSIBILITIES REGARDING OTHER INFORMATION IN CERTAIN DOCUMENTS CONTAINING AUDITED FINANCIAL STATEMENTS AND THE RELATED AUDITOR S REPORT; AND RELATED AMENDMENTS TO PCAOB STANDARDS James R. Doty Public Company Accounting Oversight Board 41. SECOND REPORT ON THE PROGRESS OF THE INTERIM INSPECTION PROGRAM RELATED TO AUDITS OF BROKERS AND DEALERS, PCAOB RELEASE NO , AUGUST 19, James R. Doty Public Company Accounting Oversight Board 42. AILEEN 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, James R. Doty Public Company Accounting Oversight Board 43. PCAOB INITIATIVES AFFECTING THE WORK OF THE AUDIT COMMITTEE Daniel L. Goelzer Baker & McKenzie 44. MEASURING AUDIT QUALITY, REMARKS BY DANIEL L. GOELZER AT THE AMERICAN BAR ASSOCIATION BUSINESS LAW SECTION 2013 SPRING MEETING, APRIL 4, Daniel L. Goelzer Baker & McKenzie 1-12

9 45. AUDIT COMMITTEE AGENDA: DISCUSSION OF THE AUDITOR S PCAOB INSPECTION REPORT Daniel L. Goelzer Baker & McKenzie Program Attorney: Laura R. Shields 1-13

10 Prepared for distribution at the 45TH ANNUAL INSTITUTE ON SECURITIES REGULATION New York Hilton, New York City, November 6 8, 2013 Live Webcast: CONTENTS: VOLUME TWO PROGRAM SCHEDULE MORRISON & FOERSTER CLIENT ALERT: CFTC ADOPTS SUBSTITUTED COMPLIANCE APPROACH FOR REGISTERED INVESTMENT COMPANIES THAT ARE COMMODITY POOLS, AUGUST 14, Kelley A. Howes Jay G. Baris Morrison & Foerster LLP 47. MORRISON & FOERSTER CLIENT ALERT: INSIDER TRADING IN MUTUAL FUNDS: DO TRADITIONAL THEORIES APPLY?, AUGUST 8, Jay G. Baris Kelley A. Howes Daniel A. Nathan Morrison & Foerster LLP 48. MORRISON & FOERSTER CLIENT ALERT: GOLDILOCKS, PORRIDGE AND GENERAL SOLICITATION, JULY 10, Jay G. Baris David M. Lynn Anna T. Pinedo Morrison & Foerster LLP 2-5

11 49. STRUCTURED PRODUCTS: INVESTMENT COMPANY ACT AND INVESTMENT ADVISERS ACT CONSIDERATIONS, THE REVIEW OF SECURITIES & COMMODITIES REGULATION, VOL. 46, NO. 7, APRIL 3, Anna T. Pinedo Jay G. Baris Morrison & Foerster LLP 50. MORRISON & FOERSTER SOCIALLY AWARE: PRIVATE FUNDS ON SOCIAL MEDIA PROCEED WITH CAUTION, JULY 15, Jay G. Baris Morrison & Foerster LLP 51. SCHULTE ROTH & ZABEL ALERT: THE SEC S JOBS ACT RULEMAKING: WHAT IT MEANS FOR PRIVATE FUND MANAGERS, JULY 24, Brad L. Caswell Brian T. Daly Marc E. Elovitz Jacob Preiserowicz Paul N. Roth Schulte Roth & Zabel LLP 52. STRADLEY RONON FUND ALERT, MONEY MARKET FUND REFORM: SEC PROPOSES FUNDAMENTAL REFORM AND OTHER SIGNIFICANT RULE AMENDMENTS, JULY Joan Ohlbaum Swirsky Stradley Ronan Stevens & Young, LLP Allison M. Fuller Stradley Ronon Stevens & Young, LLP 53. SKADDEN MEMORANDUM: CFTC ISSUES FINAL GUIDANCE AND ACCOMPANYING EXEMPTIVE ORDER ON CROSS-BORDER APPLICATION OF CERTAIN SWAP REGULATIONS, JULY 31,

12 54. SKADDEN SECURITIES REGULATION AND COMPLIANCE ALERT: SEC RESOURCES EXTRACTION ISSUER DISCLOSURE RULES VACATED, JULY 3, SKADDEN EXECUTIVE COMPENSATION AND BENEFITS ALERT: SKADDEN S PROXY WATCH: LATEST 2013 SAY-ON-PAY TRENDS AND A PROXY LITIGATION UPDATE, JULY 23, SKADDEN SECURITIES REGULATION AND COMPLIANCE ALERT: SEC STAFF ISSUES CONFLICT MINERALS & RESOURCE EXTRACTION PAYMENTS DISCLOSURE GUIDANCE, JUNE 3, SKADDEN SECURITIES REGULATION AND COMPLIANCE ALERT: GETTING BACK TO BASICS WITH RULE 10b5-1 TRADING PLANS, APRIL 9, SKADDEN CORPORATE FINANCE ALERT: TWEET THIS! SEC ADDRESSES APPLICATION OF REGULATION FD TO SOCIAL MEDIA, APRIL 3,

13 59. SKADDEN SECURITIES REGULATION AND COMPLIANCE ALERT: GUIDANCE ON NEW IRAN-RELATED DISCLOSURE REQUIREMENTS, FEBRUARY 7, RECOMMENDATIONS OF THE INVESTOR ADVISORY COMMITTEE REGARDING SEC RULEMAKING TO EXPLORE UNIVERSAL PROXY BALLOTS (ADOPTED JULY 25, 2013) RECOMMENDATIONS OF THE INVESTOR ADVISORY COMMITTEE REGARDING SEC AND THE NEED FOR THE COST EFFECTIVE RETRIEVAL OF INFORMATION BY INVESTORS (ADOPTED JULY 25, 2013) COMMITTEE ON DISCLOSURE OF CORPORATE POLITICAL SPENDING PETITION FOR RULEMAKING, AUGUST 3, REQUEST FOR RULEMAKING CONCERNING AMENDING RULE 10b5-1, DECEMBER 28,

14 64. PETITION FOR RULEMAKING UNDER SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934, FEBRUARY 1, SHAREHOLDER DEMANDS FOR CORPORATE POLITICAL DISCLOSURE Keir D. Gumbs Covington & Burling, LLP 66. COVINGTON ADVISORY/SECURITIES: D.C. DISTRICT COURT UPHOLDS SEC S CONFLICT MINERALS RULE, JULY 24, Keir D. Gumbs Covington & Burling, LLP 67. COVINGTON ADVISORY/SECURITIES: D.C. DISTRICT COURT VACATES SEC S RESOURCE EXTRACTION PAYMENT RULE, JULY 3, Keir D. Gumbs Covington & Burling, LLP 68. COVINGTON ADVISORY/SECURITIES: REQUIRED COMMUNICATIONS BETWEEN AUDITORS AND AUDIT COMMITTEES, JANUARY 29, Keir D. Gumbs Covington & Burling, LLP 69. COVINGTON ADVISORY/SECURITIES: SEC STAFF ISSUES CONFLICT MINERALS FAQs, MAY 31, Keir D. Gumbs Covington & Burling, LLP 2-9

15 70. COVINGTON E-ALERT/ELECTION AND POLITICAL LAW, SECURITIES LAW STOCK ACT OPENS UP NEW FRONT FOR INSIDER TRADING CASES, MAY 16, Keir D. Gumbs Covington & Burling, LLP 71. COVINGTON E-ALERT: SECURITIES SEC ENDORSES SOCIAL MEDIA AS PUBLIC DISCLOSURE CHANNEL, APRIL 3, Keir D. Gumbs Covington & Burling, LLP 72. RULE 10b5-1 TRADING PLANS: AVOIDING THE HEAT, SECURITIES REGULATION & LAW REPORT, 45 SRLR 438, 3/11/ David B.H. Martin Keir D. Gumbs David L. Kornblau Matthew C. Franker Stephanie W. Bignon Covington & Burling, LLP 73. PAY DEFINITIONS: WHAT WORKS BEST IN PAY FOR PERFORMANCE ANALYSIS, NOVEMBER Robin Ferracone Jack Zwingli Farient Advisors LLC 74. PERFORMANCE METRICS AND THEIR LINK TO VALUE, SUMMARY REPORT, JANUARY Robin Ferracone Farient Advisors LLC 75. ACHIEVING POSITIVE OUTCOMES, NACD DIRECTORSHIP SEPTEMBER/OCTOBER Robin Ferracone Farient Advisors LLC 2-10

16 76. THE CONTINUING VALIDITY OF THE MOSAIC THEORY AS A VIABLE DEFENSE TO INSIDER TRADING, AUGUST 30, Carmen J. Lawrence Nicole R. Love Fried, Frank, Harris, Shriver & Jacobson LLP 77. OUTLINE OF SELECTED SEC ENFORCEMENT ACTIONS, MAY Robert S Khuzami Kirkland & Ellis LLP 78. SEC PRESS RELEASE: SEC ANNOUNCES WHISTLEBLOWER ACTION, JUNE 12, Robert S Khuzami Kirkland & Ellis LLP 79. SEC v. FALCONE ET. AL., 12 CIV 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 SPECIAL SITUATIONS GP, L.L.C Robert S Khuzami Kirkland & Ellis LLP 80. DAVID WOODCOCK AND MARGARET McGUIRE, SEC FINANCIAL REPORTING AND AUDIT TASK FORCE, THE TRUSTED PROFESSIONAL, AUGUST 21, Robert S Khuzami Kirkland & Ellis LLP 2-11

17 81. SEC PRESS RELEASE: SEC ANNOUNCES ENFORCEMENT INITIATIVES TO COMBAT FINANCIAL REPORTING AND MICROCAP FRAUD AND ENHANCE RISK ANALYSIS, JULY 2, Robert S Khuzami Kirkland & Ellis LLP 82. MORRISON & FOERSTER CLIENT ALERT: INSIDE BASEBALL SEC ENFORCEMENT CO-CHIEF CALLS EM LIKE HE SEES EM, JUNE 19, Robert S Khuzami Kirkland & Ellis LLP 83. DEFENDING AGAINST THE GOVERNMENT Herbert F. Janick III Ike Adams Nicole M. Brown Sidley Austin LLP 84. JUGGLING CRIMINAL, CIVIL AND MULTINATIONAL INVESTIGATIONS Bruce E. Yannett Erich O. Grosz Debevoise & Plimpton LLP 85. ARTICLES PREPARED FOR THE SPRING 2013 EDITION OF BERNSTEIN LITOWITZ BERGER & GROSSMAN S NEWSLETTER, THE ADVOCATE FOR INSTITUTIONAL INVESTORS a. Trouble After the Bubble: Banks Face a Flood of Litigation as RMBS Investors Fight Back b. Challenge & Opportunity for the SEC: A Conversation with Former SEC Chair Harvey Pitt c. Unfinished Business: A Loot at Wall Street, America s Financial Markets and The Obama Administration s Second Term Max W. Berger Bernstein Litowitz Berger & Grossman 2-12

18 86. KNOWN TRENDS AND UNCERTAINTIES : DISCLOSURE OBLIGATIONS IN MANAGEMENT S DISCUSSION AND ANALYSIS UNDER ITEM 303 OF REGULATION S-K Charles S. Duggan Davis Polk & Wardwell LLP 87. THE IMPACT OF RECENT SUPREME COURT DECISIONS ON RULE 23(b)(3) s PREDOMINANCE REQUIREMENT Jonathan K. Youngwood Nihara K. Choudhri Kelly A. Hodges Simpson Thatcher & Bartlett LLP 88. CURRENT THOUGHTS ABOUT ACTIVISM Martin Lipton Steven A. Rosenblum Sebastian V. Niles Watchell, Lipton, Rosen & Katz 89. MERGERS AND ACQUISITIONS Andrew R. Brownstein Steven A. Rosenblum Adam O. Emmerich Mark Gordon Gordon S. Moodie Eitan Hoenig Watchell, Lipton, Rosen & Katz 90. RECENT DECISIONS OF DELAWARE COURTS Mark J. Gentile Richards, Layton & Finger, P.A. 91. NOT YOUR FATHER S ETHICS ENVIRONMENT IS THERE INCREASED SCRUTINY OF LAWYERS? WHAT IS THE TRUTH AND WHAT ARE THE CONSEQUENCES? Giovanni Prezioso Cleary Gottlieb Steen & Hamilton LLP 2-13

19 92. UPDATE ON THE SEC S LAWYER DISCIPLINARY PROGRAM Dixie L. Johnson David D. Whipple Fried, Frank, Harris, Shriver & Jacobson LLP 93. FREQUENCY OF 102(e) CASES (BY SIX-MONTH PERIOD) Dixie L. Johnson Fried, Frank, Harris, Shriver & Jacobson LLP 94. ZEALOUS ADVOCACY AND OFFENDING THE SEC: THE SEC S LAWYER DISCIPLINE PROGRAM, INSIGHTS, THE CORPORATE & SECURITIES LAW ADVISOR, VOLUME 26, NUMBER 10, OCTOBER Dixie L. Johnson David D. Whipple Fried, Frank, Harris, Shriver & Jacobson LLP 95. ETHICAL DILEMMAS FOR DISCLOSURE LAWYERS: SUMMARY OF SELECTED SEC CASES INVOLVING DISCLOSURE LAWYERS John F. Olson Andrew Hirsch Marc Collier Taylor Hathaway-Zepeda Gibson, Dunn & Crutcher LLP 96. SUMMARY OF RECENT SEC ACTIONS AND PRIVATE SUITS AGAINST LAWYERS FOR INVOLVEMENT IN CAPITAL RAISES John F. Olson Gibson, Dunn & Crutcher LLP 97. SUPPLEMENT OF SELECTED CASES AGAINST LAWYERS FOR INVOLVEMENT IN CAPITAL RAISES John F. Olson Gibson, Dunn & Crutcher LLP 2-14

20 98. SELECTED RECENT DEVELOPMENTS IN U.S. SECURITIES LAWS AND CORPORATE FINANCE John F. Olson Jonathan C. Dickey Stephen I. Glover Brian J. Lane Ronald O. Mueller Amy L. Goodman James J. Moloney Paul J. Collins Gillian McPhee Peter W. Wardle Ari B. Lanin Elizabeth Ising Michael Scanlon David Lee Andrew Hirsch Melissa Barshop Gibson, Dunn & Crutcher LLP INDEX APPENDIX A. Parallel Proceedings: Cram Sheet Ralph C. Ferrara Ann M. Ashton Proskauer Rose LLP Program Attorney: Laura R. Shields 2-15