Drafting Securities Filings 2012


Monday, October 29, 2012 - Tuesday, October 30, 2012




Michael S. Dorf, Shearman & Sterling LLP; Stephen E. Gillette, Jones Day; Jonathan W. Hughes, Arnold & Porter LLP; Mark P. Shuman, legal branch chief, Information Technologies and Service, Division of Corporation Finance, U.S. SEC


PLI CA Center
685 Market St
San Francisco, CA 94105
United States


www.pli.edu or (800) 260- 4754




9 am-5 pm both days

CLE Credits:

12.75 CA hrs including 1 ethics


Topics include an overview of the disclosure cycle and the integrated disclosure system; regulation S-K; Exchange Act registration and reporting, including Forms 10-K, 10-Q, 8-K and more; Securities Act registration statements, including discussion of eligibility, the drafting process, incorporation by reference, “experts,” consents and shelf registration; Securities Act Section 5 - the communication rules and related filings; broad overview of proxy statements, including when preliminary filings are required, the shareholder proposal process, as well as year-end timing and filing issues; and Securities filings used in mergers, acquisitions and other significant corporate transactions; and more.


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