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Topics Corporate-Securities New Rules: SEC Approves Enhanced Compensation & Governance Disclosures for 2010 Proxy Season
Public Company Advisory Group Weil, Gotshal & Manges LLP January 2010 [P. ] RiskMetrics Updates On Takeover Defenses And Compensation The Editor interviews Bruce Newsome , Partner in the corporate and securities practice group of Haynes and Boone LLP's Dallas office. January 2010 [P. 12] RiskMetrics/ISS Issues Policy Updates For 2010 Proxy Season:
Expect More Negative Vote Recommendations In Uncontested Director Elections Public Company Advisory Group Weil, Gotshal & Manges LLP January 2010 [P. 16] Defining Corporate Social Responsibility As A Norm Of Corporate Behavior The Editor interviews Joseph Jaffe , Managing Director and Practice Leader, UHY Advisors FLVS, Inc. December 2009 [P. 12] House Weighs Regulation Of Hedge And Private Equity Fund Advisers R. Scott Beach and Gregory D. Shalette Day Pitney LLP December 2009 [P. 14] Financial Regulatory Reform Update: Which Private Fund Managers Should Anticipate Registration With The SEC?
Adrienne Atkinson and David W. Blass Willkie Farr & Gallagher LLP December 2009 [P. 17] Fair Is In The Eye Of The Beholder
Patrick J. O'Toole, Jr. and Matt Goulding Weil, Gotshal & Manges LLP December 2009 [P. 20] No D&O Coverage For Payment To Shareholder Class
Cindy Tzvi Sonenblick Lowenstein Sandler PC December 2009 [P. 33] Proxy Access Is Coming - Steps To Take Now The Editor interviews Joseph L. Johnson III , Partner, Goodwin Procter LLP. November 2009 [P. 24] Getting Your Portfolio Company D&O Insurance Right (The First Time Around)
Paul A. Ferrillo Weil, Gotshal & Manges LLP November 2009 [P. 38] The Place Of Private Equity In The Investment World The Editor interviews Sean Hill , Partner in the Corporate Department and Private Investment Funds Group of Proskauer Rose LLP's Boston office. November 2009 [P. 42] Neil Barofsky: Bringing Transparency To TARP The Editor interviews Richard H. Girgenti , Principal and National Practice Leader for Forensic Services, KPMG LLP, and Michael R. Young , a litigation partner in the New York office of Willkie Farr & Gallagher LLP specializing in securities and financial reporting. October 2009 [P. 01] Registration Of Private Investment Funds And Advisers As Part Of Financial Regulatory Reform
Richard Ellenbogen Weil, Gotshal & Manges LLP October 2009 [P. 07] SEC Proposes To Use Investment Advisers Act To Stop Pay To Play Practices Involving Government Pension Plans
Richard Ellenbogen Weil, Gotshal & Manges LLP October 2009 [P. 07] Reforming The Major Credit Rating Agencies: What Hath The SEC Wrought?
Jeff Kaiser Navigant Consulting, Inc. October 2009 [P. 08] Investment Management Compliance Update: Placement Agents Under Fire
R. Scott Beach, James E. Bowers and Shawn T. Wooden Day Pitney LLP October 2009 [P. 09] Update On Shareholder Access, Shareholder Bill Of Rights And Other Washington Efforts On Corporate Governance
Thomas Quaadman U.S. Chamber of Commerce October 2009 [P. 13] Carried Interest And The Regulatory Landscape For Private Equity And Hedge Funds Michael S. Maglio and Derek Gardella WTAS, LLC October 2009 [P. 37] Texas District Court Dismisses Insider Trading Charges Against Mark Cuban And Holds That Misappropriation Theory Requires Duty Not To Trade
Abbe L. Dienstag, Alan R. Friedman and Darren LaVerne Kramer Levin Naftalis & Frankel LLP October 2009 [P. 38] New York - Home To Our Nation's Capital Markets The Editor interviews Kenneth Fisher and William Rosoff , members of the business law department at Cozen O'Connor. October 2009 [P. 52] Proxy Access Looms: Understanding It And Its Challenges The Editor Interviews Alon Y. Kapen , Partner, Farrell Fritz, P.C. August 2009 [P. 12] SEC: Proposing Proxy Access - Limiting Broker Discretionary Voting The Editor interviews Patrick Dooley , Partner, Akin Gump Strauss Hauer & Feld LLP. August 2009 [P. 15] TARP And The Stimulus - Keeping Them Honest Christine F. Hesse, Steven Kaufhold, Susan H. Lent Akin Gump July 2009 [P. 07] The Long(er) Arm Of The Law: Personal Jurisdiction In Securities Actions Neal R. Troum Stradley Ronon Stevens & Young, LLP July 2009 [P. 10A] Fed Expands TALF To Include Legacy CMBS John Dedyo, Kristen Buppert and Arthur Kimball-Stanley Weil, Gotshal & Manges LLP July 2009 [P. 18] An Investment Lawyer With A Strong Grounding In Experience The Editor interviews Shawn T. Wooden, Partner in the Hartford and New York offices of Day Pitney. July 2009 [P. 39] A Law Firm Clearly Tuned To Its Clients' Radar The Editor interviews R. Max Crane , Managing Partner, Sills Cummis & Gross P.C. Mr. Crane regularly counsels private and public companies and their executives on most aspects of law and business including corporate finance, mergers and acquisitions, securities and crisis management. July 2009 [P. 43] Public-Private Investment Program - Potential Opportunities For Investors John J. Dedyo and Germaine N. Gurr Weil, Gotshal & Manges LLP June 2009 [P. 08] An Overview Of The Securities Litigation Landscape The Editor interviews Patricia Etzold , Partner and Co-author of the PricewaterhouseCoopers 2008 Securities Litigation Study. June 2009 [P. 14] Conflicting Provisions/Conflicting Decisions Heather M. Tashman and Kristin J. Jones Stradley, Ronon, Stevens & Young LLP June 2009 [P. 16AA] Eighth Circuit Amends Standard For Review Of Mutual Fund Advisory Fees Benjamin J. Haskin, Rose DiMartino, Mary Eaton and Ryan Leshaw Willkie Farr & Gallagher LLP June 2009 [P. 32] Lenders And Counsel, Beware Of Usury Pitfalls Christopher G. Dorman and Allan L. Hill Phillips Lytle LLP May 2009 [P. 20] Buying Aircraft From Distressed Sellers Gregory P. Cirillo and Gary I. Horowitz Wiley Rein LLP May 2009 [P. 22A] G-20 Releases Plan To Reform Financial Regulation Akin Gump Strauss Hauer & Feld LLP May 2009 [P. 37] Society Of Corporate Secretaries & Governance Professionals - Meeting Today's Challenges The Editor interviews David W. Smith , President, Society of Corporate Secretaries & Governance Professionals ("Society"). May 2009 [P. 39] Systemic Defects In Proxy Voting Machinery Undermine Good Corporate Governance The Editor interviews Cary I. Klafter , Vice President, Legal and Corporate Affairs and Corporate Secretary, Intel Corporation. May 2009 [P. 40] Exposing A Major Flaw In Corporate Governance - Proxy Voting The Editor interviews Ira M. Millstein , Senior Associate Dean for Corporate Governance, Yale School of Management and Senior Partner, Weil, Gotshal & Manges LLP. May 2009 [P. 41] Delaware Courts: An Ongoing Saga Of Excellence The Editor interviews The Hon. Myron T. Steele , Chief Justice, Supreme Court of Delaware. May 2009 [P. 43] Gantler v. Stephens: The Latest Word From Delaware On Officer Liability And Shareholder Ratification
David A. Swerdloff, Ronald H. Janis and Elida Salcedo Day Pitney LLP May 2009 [P. 45] Delaware Supreme Court Reverses Court Of Chancery's Lyondell Decision
William Bates and C. William Baxley King & Spalding LLP May 2009 [P. 46] Delaware Chancery Court Refuses To Hold Citigroup's Directors Personally Liable For Failing To Monitor Risks Associated With Citigroup's Subprime Exposure Tariq Mundiya and Mary Eaton Willkie Farr & Gallagher LLP May 2009 [P. 47] Delaware Legislature Addresses Shareholder Access And Adopts Other Important Corporate Governance Provisions
E. Norman Veasey and Christine Di Guglielmo Weil, Gotshal & Manges LLP May 2009 [P. 48] The Deleveraging Of America -Part I The Editor interviews Joshua Thompson , Partner in the Corporate Department of Proskauer Rose LLP. April 2009 [P. 08] The Deleveraging Of America - Part II The Editor interviews Frank Lopez , Partner in the Corporate Department of Proskauer Rose LLP. April 2009 [P. 09] After The Big Bang: The New Credit Default Swap Landscape Howard T. Spilko and Fabien Carruzzo Kramer Levin Naftalis & Frankel LLP April 2009 [P. 10] Liquidation Of Troubled Businesses: Chapter 11 Liquidations Increasing H. Jason Gold and Dylan G. Trache Wiley Rein LLP April 2009 [P. 10A] Demand Futility In NewYork State Court Derivative Actions Arising From Stock Options Backdating Scott S. Rose Willkie Farr & Gallagher LLP April 2009 [P. 43] TALF, Stimulus And Troubled Assets Deals The Editor interviews David H. Joseph , Partner, Stradley Ronon Stevens & Young, LLP. March 2009 [P. 20A] Carrying On The Weil Tradition In Boston The Editor interviews James Westra , Managing Partner of Weil Gotshal & Manges LLP's Boston office and a Member of Weil Gotshal's Management Committee. His practice is wide-ranging, including representing a number of private equity and venture firms and public companies in general financing matters. March 2009 [P. 51] Master Planning For The Future The Editor interviews Steven M. Ellis , Partner in Proskauer Rose LLP's Corporate Department, Head of the Firm's Boston office, Co-head of the Distressed Debt Group and Junior Capital Group, and Co-chair of the Firm's Corporate Finance Group. March 2009 [P. 52] Credit Default Swaps In The Headlines: What Senior Management Needs To Know About How CDSs Work, And Recent Efforts To Regulate CDSs
Thomas H. French and Jack I. Habert Willkie Farr & Gallagher LLP February 2009 [P. 06] Exchanges For Listing SPACs - A Shifting Landscape M. Ridgway Barker and Michael L. Pflaum Kelley Drye & Warren LLP January 2009 [P. 05] Certain Shelf Registration Statements Will Expire Beginning December 1, 2008 Edward Smith Chadbourne & Parke LLP September 2008 [P. 37] SEC Proposes To Ease Burdens On Certain Non-U.S. Issuers Whose Principal Trading Market Is Outside The U.S. François Janson Holland & Knight LLP May 2008 [P. 42] Regulation Of Non-U.S. Broker-Dealers Doing Business In The U.S. - Part II Benjamin J. Catalano and Rachel S. Lerner Proskauer Rose LLP May 2008 [P. 43] Primer: Statement Of Financial Accounting Standards No. 157 Kenneth J. Pantoga WTAS LLC March 2008 [P. 30] The Risks Of The Deal - Managing M&A Transactions In China Lefan Gong Jones Day. January 2008 [P. 05] Securities Litigation Today: Striking The Right Balance The Editor interviews Steven M. Hecht and Lawrence M. Rolnick, Lowenstein Sandler PC. January 2008 [P. 06] Stoneridge v. Scientific-Atlanta : Securities Fraud Defendants Look To Continue Their Streak Meir Feder Jones Day January 2008 [P. 08] The SEC Is Getting Hot And Bothered Over Climate Change Peter L. Gray McKenna Long & Aldridge LLP January 2008 [P. 11] Due Diligence: Recognizing And Assessing Risk In Uncertain Times Ken Yormark Protiviti January 2008 [P. 22] The SEC Releases Report On Executive Compensation Disclosure - Things To Consider For The 2008 Proxy Season David E. Rubinsky and J. Pasco Struhs Willkie Farr & Gallagher LLP January 2008 [P. 29] Executive Compensation Proxy Disclosure: Achieving A Balance? The Editor interviews Sabino (Rod) Rodriguez III , Day Pitney LLP. January 2008 [P. 30] SEC And Federal Reserve Board Issue Final "Push-out" Rules Charles E. Dropkin Proskauer Rose LLP January 2008 [P. 40] The Subprime Mortgage Crisis: Everything You Wanted To Know And A Few Things You Didn't The Editor interviews Joy Harmon Sperling, Day Pitney LLP. December 2007 [P. 22] Who Holds The Assets In A Delaware Series LLC? Norman M. Powell Young Conaway Stargatt & Taylor, LLP December 2007 [P. 30] A Seamless Global Strategy Includes Hong Kong And China The Editor interviews Michael B. Pollack , Partner, Reed Smith . December 2007 [P. 73] Foreign Companies Don't List In The U.S. - What Can Be Done? The Editor interviews Joseph McLaughlin, Partner, Sidley Austin LLP. He is the co-author (with Charles J. Johnson, Jr.) of Corporate Finance and the Securities Laws (4d ed. 2006) (Aspen Publishers, www.aspenpublishers.com). November 2007 [P. 15] Project Finance: Current Strength And Future Trends The Editor interviews Barry N. Machlin , co-head of the Global Projects Group and Partner at Mayer Brown LLP. November 2007 [P. 24] SEC Narrows Exceptions To Regulation SHO
Roger D. Blanc, Larry E. Bergmann and Matthew B. Comstock Willkie Farr & Gallagher LLP November 2007 [P. 27] Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading Edgardo Ramos and Jeffrey Plotkin Day Pitney LLP October 2007 [P. 34] SEC Tightens Rule 105 Of Regulation M To Protect Offering Prices Roger D. Blanc, Larry E. Bergmann and Matthew B. Comstock Willkie Farr & Gallagher LLP October 2007 [P. 35] Stock Option Backdating - How Does The Court Of Chancery Determine Breach Of Fiduciary Duty? Kimberly L. Gattuso Saul Ewing LLP October 2007 [P. 36] K&L Gates' Securities Enforcement Manual: A Guide To Navigating The Securites Enforcement Process The Editor interviews Michael J. Missal, Partner, Kirkpatrick & Lockhart Preston Gates Ellis LLP. October 2007 [P. 37] The Changing Landscape Of Proxy Solicitation: What You Need To Do Now Warren J. Casey and A. Blake Cooper Day Pitney LLP October 2007 [P. 38] Set Up To Fail: Joint Venture Board Conflicts Of Interest Stephen A. Tsoris Drinker Biddle & Reath LLP September 2007 [P. 10] The Second Edition Of Forms Under Revised Article 9: A Welcome Guide For The Secured Transactions Attorney The Editor interviews Cindy J. Chernuchin , Special Counsel, Willkie Farr & Gallagher LLP. September 2007 [P. 11] Why Media Companies Make Sense To Equity Investors The Editor interviews Stephen C. Jacobs , Partner, Kramer, Levin, Naftalis & Frankel LLP. September 2007 [P. 12] Increasing Shareholder Value: Corporate Counsel At The Forefront Of Using Technology Solutions To Drive Cost Savings Jerry F. Barbanel Aon Consulting September 2007 [P. 39] A New Paradigm For Venture Funds The Editor interviews Mitchell S. Bloom , Partner of the Technology Companies Group and Co-Chair of the Life Sciences Practice at Goodwin Procter LLP. September 2007 [P. 49] Rule 10b5-1 Plans Under Scrutiny: The New Executive Stock Timing Story Libby Kitslaar and Philip Stamatakos Jones Day August 2007 [P. 36] Capital Markets Reports' Recommendations: The Litigation Climate The Editor interviews Gene C. Schaerr , Partner, Winston & Strawn LLP. July 2007 [P. 05] Our Forbidding Litigation Environment Can Be Changed The Editor interviews James C. Dugan , Partner, Willkie Farr & Gallagher LLP. July 2007 [P. 06] Is the U.S. Falling Behind? The Editor interviews Stephen T. Burdumy , Partner, Drinker Biddle & Reath LLP. July 2007 [P. 07] New SEC Proposals Would Greatly Streamline Capital Formation For Smaller Public Companies Alan Wovsaniker , Steven E. Siesser and John D. Hogoboom Lowenstein Sandler PC July 2007 [P. 08] Don't Miss What Is Just Over The Horizon Al Driver, Editor The Metropolitan Corporate Counsel (In collaboration with Christine Edwards, Winston & Strawn) July 2007 [P. 09] Proxy Disclosure And Executive Perks On Display The Editor interviews Adrienne Ann Scerbak , Partner, Goodwin Procter LLP. July 2007 [P. 17] Equity Incentives: Securities Basics That Every Foreign-Based Company Should Know When Offering To Employees Based In The U.S. Or UK Ian Fraser and Peter Marathas Kirkpatrick & Lockhart Preston Gates Ellis LLP July 2007 [P. 40] Wall Street Meets Main Street Congress Examines The Economic And Social Effects Of Private Equity Transactions Barry Barbash and Russell Smith Willkie Farr & Gallagher LLP July 2007 [P. 41] The CCMR Report: A Greater Emphasis On Securities Regulation Interview: Robert R. Glauber, Harvard Law School. June 2007 [P. 01] The Long Arm Of Sarbanes-Oxley: Extending To Private And Non-Profit Organizations The Editor interviews John Pennett, CPA , Amper, Politziner & Mattia, P.C. June 2007 [P. 08] Bloomberg/Schumer Report: A Focus On Talent Interview: Greg Wilson, Greg Wilson Consulting. June 2007 [P. 11] Can The U.S. Capital Markets Be Saved By Tinkering With The Legal Profession? C. Evan Stewart Zuckerman Spaeder LLP June 2007 [P. 12] Do Small Companies Get Short Shrift? The Editor interviews John D. Hogoboom , Member, Lowenstein Sandler PC. June 2007 [P. 14] SEC Proposes New Rules Directed At Hedge Funds And Their Advisers - Part II Rita M. Molesworth Willkie Farr & Gallagher LLP June 2007 [P. 37] SPACs - Continuing To Grow And Evolve M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP June 2007 [P. 38] Winning Without A Fight: Steps For Activist Shareholders To Change Management Adam J. Kansler and Leila Zahedani Proskauer Rose LLP June 2007 [P. 39] How Competitive Are U.S. Capital Markets And U.S. Public Companies? Issues Of Importance And Reform For All Corporate Counsel The Editor interviews Christine Edwards , Partner, Winston & Strawn LLP. May 2007 [P. 01] The Chamber Report: Global Perspective The Editor interviews Richard H. Murray , Executive Vice President and Chief Claims Strategist, Swiss Re. May 2007 [P. 05] The Chamber Report: Global Perspective And Overview The Editor interviews Michael Ryan , a participant in the ABA Panel entitled "New Commissions, New Recommendations: U.S. Capital Markets and Corporate Reforms." During the past year, Mr. Ryan served as Executive Director of the Commission. May 2007 [P. 05] Legal Update - Corporate Law Changes In The UK John D. Vaughan and Stuart Borrie Kirkpatrick & Lockhart Preston Gates Ellis LLP May 2007 [P. 08] The Role And Responsibility Of Directors In Strategic Planning And Risk Assessment The Editor is fortunate to report on a discussion among Betsy S. Atkins , CEO and President, Baja LLC and Director, Polycom Inc., Reynolds American Inc. and Chico's FAS, Inc.; Louis J. Briskman , former Senior Vice President and General Counsel, Aetna Inc., now General Counsel, CBS Corporation and Board of Regents Member, Georgetown University; and Bonnie G. Hill , President, B. Hill Enterprises, LLC and Director, Home Depot, Albertsons, Yum Brands, The Hershey Company, AK Steel and California Water Service Group, from the Practicing Law Institute web program entitled Third Annual Directors' Institute On Corporate Governance. To hear full remarks and other leading experts' commentary, visit www.pli.edu. May 2007 [P. 23] SEC Proposes New Rules Directed At Hedge Funds And Their Advisers - Part I Rita M. Molesworth Willkie Farr & Gallagher LLP May 2007 [P. 26] "The Key To Any Securities Investigation Is Materiality" The Editor interviews Jonathan E. Rich , Senior Counsel, Proskauer Rose LLP, Los Angeles. May 2007 [P. 27] Assessing Capital Markets Reform Proposals - A Corporate Practitioner's Perspective The Editor interviews Mark G. Johnson , chair of the Corporate Securities/Mergers & Acquisitions practice group at Winstead PC. May 2007 [P. 28] Delaware Courts Use A Principle-Based "Prudential Regulation" Approach The Editor interviews The Hon. Myron T. Steele , Chief Justice, Supreme Court of Delaware. May 2007 [P. 45] Delaware Entities Favored In Structured Finance Norman M. Powell Young Conaway Stargatt & Taylor, LLP May 2007 [P. 46] Incorporate in Delaware: Benefit From America's Best Legal Environment The Editor interviews Edward M. McNally , Partner, Morris James LLP. May 2007 [P. 49] Backdated Stock Option Issues Continue To Make Headlines Robert J. Friedman and Scott D. Segal Holland & Knight LLP April 2007 [P. 32] "Pink Sheets" - Part II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP April 2007 [P. 43] SEC Approves Internet Distribution Of Proxy Materials Amy Fitzsimmons Stradley Ronon Stevens & Young, LLP April 2007 [P. 43A] Making Company Stock Safe For Your 401(k) Plan Alan S. Miller , James F. Carey , James P. Baker and Joni L. Andrioff Jones Day April 2007 [P. 52] "Pink Sheets" - Part I M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP March 2007 [P. 21] A Brief Q&A On Sarbanes-Oxley Compliance The Editor interviews Laurie Scofield , Managing Director in RSM McGladrey's Risk Management Consulting Practice in New York City. March 2007 [P. 38] Current Sarbanes-Oxley's Section 404 - A Hardship For Small Companies John Pennett, CPA Amper, Politziner & Mattia March 2007 [P. 39] Sarbanes-Oxley Rule Revisions Announced Stephen V. Falanga and John P. Lacey Connell Foley LLP February 2007 [P. 37] Scheme Liability Under Rule 10b-5: An Emerging Cause Of Action - Part III James C. Dugan Willkie Farr & Gallagher LLP February 2007 [P. 38] An Overview Of NYSE Arca M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP February 2007 [P. 39] Proskauer Rose's Los Angeles Office: Building A Vigorous Corporate And Securities Practice The Editor interviews Michael A. Woronoff , Partner, Proskauer Rose LLP. February 2007 [P. 41] Scheme Liability Under Rule 10b-5: An Emerging Cause Of Action - Part II James C. Dugan Willkie Farr & Gallagher LLP January 2007 [P. 09] Reminder: Modified Publication Requirements For New York Limited Liability Entities January 2007 [P. 10] Portfolio Rebalancing: Prohibited Principal Transactions Or Fair Allocations Of Investment Opportunities? Scott H. Moss Lowenstein Sandler PC January 2007 [P. 10] An Expert Looks At Hot Topics In This Year's Annual Meeting Season The Editor interviews Neil McCarthy , Editor in Chief, LawyerLinks LLC. January 2007 [P. 14] Mandating Democracy In Corporate Governance: The Right Move? Ronald H. Janis Day Pitney LLP January 2007 [P. 22] Take AIM: The European Market For Fast-Growing Businesses Robin Johnson Eversheds LLP January 2007 [P. 46] New Developments In Sarbanes-Oxley Compliance For Non-Accelerated Filers The Editor interviews Laurie Scofield , Managing Director, Risk Management Practice, New York Office, RSM McGladrey, Inc. For information about fraud webinar, go to www.rsm-mcgladrey.com. December 2006 [P. 28] How SOx 404 Will Become Easier for Smaller Companies Neil Goldenberg Eisner LLP December 2006 [P. 32] What The SEC Wants Now On: Related Persons, Independence Of Directors, Executive Pay Disclosure
Lisa K. Kunkle, Louis Rorimer and Stephen P. Coolbaugh Jones Day December 2006 [P. 36] Scheme Liability Under Rule 10b-5: An Emerging Cause Of Action - Part I James C. Dugan Willkie Farr & Gallagher LLP December 2006 [P. 37] SPACs: A Focus On China
M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP December 2006 [P. 63] Chinese Companies Ringing The Bell On Many Exchanges The Editor interviews Mitchell S. Nussbaum , Partner, Loeb & Loeb LLP. December 2006 [P. 72] Unsettled Law Of Secondary Actor Liability Under Rule 10b-5 Raises Concerns For Attorneys - Part II Tracy Crum Akin Gump Strauss Hauer & Feld November 2006 [P. 05] Delaware Requires Business Entities To Provide Contact Information To Registered Agents Andrea B. Unterberger Corporate Service Company (CSC) October 2006 [P. 00] Unsettled Law Of Secondary Actor Liability Under Rule 10b-5 Raises Concerns For Attorneys - Part I Tracy Crum Akin Gump Strauss Hauer & Feld October 2006 [P. 17] NAIC Regulatory Treatment of Hybrid Securities Leah Campbell , Serge Benchetrit and Richard Reinhold Willkie Farr & Gallagher LLP October 2006 [P. 18] Controlling Interest Transactions: Advantages, Disadvantages And Complexities Of Selling Less Than 100 Percent Of A Company Brad J. Schwartzberg and Alexander Barry Davis & Gilbert LLP October 2006 [P. 20] Sarbanes-Oxley Act: Planning & Compliance Edited by Diane E. Ambler , Lorraine Massaro and Kristen L. Stewart , Partners, Kirkpatrick & Lockhart Nicholson Graham LLP Reviewed by Al Driver, Editor The Metropolitan Corporate Counsel October 2006 [P. 34] What's Next In SOX 404 For Smaller Public Companies? The Editor interviews Neil Goldenberg , Chief Executive Director of Corporate Governance & Risk Management Services, Eisner LLP. October 2006 [P. 36] Special Purpose Acquisition Corporations: Specs to Consider When Structuring Your SPAC - Part II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP September 2006 [P. 12] Update On The Hedge Fund Registration Rule Marie T. DeFalco and Peter D. Greene Lowenstein Sandler PC September 2006 [P. 18] S-Ox Is Not Revolutionizing Officer And Director Liability (Yet)
Andrew J. Beck and Joshua Goldstein Torys LLP September 2006 [P. 33] Recent Decisions Regarding The Whistleblower Provision Of The Sarbanes-Oxley Act Kevin B. Leblang and Izabel P. McDonald Kramer Levin Naftalis & Frankel LLP September 2006 [P. 42] Special Purpose Acquisition Corporations: Specs to Consider When Structuring Your SPAC - Part I M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP August 2006 [P. 06] All You Wanted To Know About Back Dating Of Options But Were Afraid To Ask Mark Tarallo and Ted Hanselman Holland & Knight LLP August 2006 [P. 07] The Sarbanes-Oxley Act of 2002 - Strategies for Smaller Public Companies John P. Fodera, CPA Eisner LLP August 2006 [P. 09] SEC Issues Guidance On Rebalancing And Principal Transactions Wesley Nissen Winston & Strawn LLP August 2006 [P. 10] SPACs Show Impressive Growth In The Investment Community And IPO Markets Steven R. Kamen and Eliezer M. Helfgott Sills Cummis Epstein & Gross P.C. July 2006 [P. 13] Update: New York Adopts Superseding Amendments To Publication Requirements For Limited Liability Entities Monica C. Lord and Sidney Friedman Kramer Levin Naftalis & Frankel LLP July 2006 [P. 14] Delaware Supreme Court Affirms Dismissal Of Action Against Michael D. Eisner Gary Naftalis Leads Eisner Appellate Team July 2006 [P. 14] How Do I Know If There Is A Back-Dated Options Problem And What Do I Do? R. William Ide, III and Thomas Wardell McKenna Long & Aldridge LLP July 2006 [P. 18] Option Grant Backdating: What Boards, In-House Counsel And Executives Need To Know About The Issue Securities Litigation Team Akin Gump Strauss Hauer & Feld LLP July 2006 [P. 20] Developments In Regulatory Investigations Into Insider Trading Mark Enslin Lindquist & Vennum PLLP June 2006 [P. 23] SEC Responds To Concerns Over Implementation Of Sarbanes-Oxley Section 404 Neil Goldenberg Eisner LLP June 2006 [P. 26] Whistleblowing Under Sarbanes-Oxley: The Mist Begins To Clear The Editor interviews Connie N. Bertram , Partner, Winston & Strawn LLP, Washington, DC. June 2006 [P. 35] SEC Executive Compensation Proposals: Governance, Comments, And Embarrassing Disclosures - Part II Stephen T. Lindo Willkie Farr & Gallagher LLP May 2006 [P. 07] Amendment To New York Publication Requirements For Limited Liability Entities Monica C. Lord and Sidney Friedman Kramer Levin Naftalis & Frankel LLP May 2006 [P. 18] SEC Executive Compensation Proposals Merit Prompt Attention: Still Time To Avoid The Glare - Part I Stephen T. Lindo and Frank A. Daniele Willkie Farr & Gallagher LLP April 2006 [P. 09] Building On A Record Of Succcess In Complex Commercial Litigation And Securities Matters The Editor interviews Claude E. Salomon , Associate, St. John & Wayne LLC. Ms. Salomon received a B.A. from Vassar College and a J.D. from Columbia University School of Law, where she was a Harlan Fiske Stone Scholar. She co-chairs the Securities Litigation and Regulatory Enforcement Committee and chairs the Women in the Profession Section of the New Jersey State Bar Association. April 2006 [P. 42]
U.S. Securities Issues In Spin-Offs And Subsidiary IPOs - Part
II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP March 2006 [P. 05m]
Private Placements In The United States Of Interests In Unregistered
Investment Funds Stephen Culhane and Alexander A. Gendzier King & Spalding LLP March 2006 [P. 06] U.S. Securities Issues In Spin-Offs And Subsidiary IPOs M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP February 2006 [P. 06m] Managing IP Risk In Accordance with Sarbanes-Oxley Gary Bender Ernst & Young LLP February 2006 [P. 44] Requesting Confidential Treatment In Connection With SEC Comment Letters And Issuer Responses Scott Warren Goodman and Achilles B. Kintiroglou Pitney Hardin LLP January 2006 [P. 06] Securities And Exchange Commission Proposed Guidance On The Scope Of Section 28(e) Martin R. Miller and Paul F. Schlichting Willkie Farr & Gallagher LLP January 2006 [P. 12] UK - Law Firms Purchase Of Unlisted UK Companies - Equity Incentive Issues Ian G. Fraser and Peter J. Marathas Kirkpatrick & Lockhart Nicholson Graham LLP January 2006 [P. 32] U.S. Securities Issues In Spin-Offs And Subsidiary IPOs - Part II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP December 2005 [P. 06] Enforcement: District Court Dismisses "Nit-Picking" Allegations Of Regulation FD Violations C. Ian Anderson Chadbourne & Parke LLP December 2005 [P. 38] China - Law Firms Wall Street Comes To Shanghai The Editor interviews Steven Xiang , Partner In Charge Of The Shanghai Office Of Weil, Gotshal & Manges LLP. December 2005 [P. 47] U.S. Securities Issues In Spin-Offs And Subsidiary IPOs - Part I M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP November 2005 [P. 06] SEC Adopts Rule 16(b) Amendments: Eliminates Uncertainty Caused By Sterling Miranda S. Schiller Weil, Gotshal & Manges LLP November 2005 [P. 10] SEC Gives Smaller Companies An Extra Year To Comply With Internal Control Rules Andrew J. Beck and Joshua Goldstein Torys LLP November 2005 [P. 25] The Scope Of Whistleblower Protections Under Sarbanes-Oxley: Are Privately Held Companies Covered ? - Part I Condon McGlothlen Seyfarth Shaw LLP November 2005 [P. 32] Canada: Law Firms Canada - U.S. Cross Border Income Trusts and Income Securities: Going Public In Canada The Editor interviews Michael A. Smith , Partner, Winston & Strawn LLP. October 2005 [P. 47] Compliance Readiness The Andersen Decision And Document Management Under Sarbanes-Oxley James Dabney Miller King & Spalding LLP September 2005 [P. 42] Project: Corporate Counsel Part II (Unintended Consequences) - Law Firms When The SEC Comes Knocking: What Corporate Counsel Needs To Know About Initiating An Internal Investigation In Response To An Inquiry By The Securities And Exchange Commission William M. Uptegrove and Matthew M. Oliver Lowenstein Sandler P.C. August 2005 [P. 35] Project: Corporate Counsel Part II (Compliance Readiness) - Law Firms Sarbanes-Oxley Three Years On: An Evolving Compliance Structure The Editor interviews Peter G. Verniero , Sills Cummis Epstein & Gross P.C. August 2005 [P. 36] Representations And Warranties And Related Proxy Statement Disclosure May Form A Basis For SEC Enforcement Action Theresa Hyatte Weil, Gotshal & Manges LLP July 2005 [P. 16] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms Environmental Disclosure In The Post Sarbanes-Oxley World Bruce S. Katcher and Michael M. Meloy Manko, Gold, Katcher & Fox, LLP July 2005 [P. 31] Corporate Governance: Sarbanes-Oxley Section 404 - After Year One Neil Goldenberg Eisner LLP July 2005 [P. 38] The Impact Of Dura Pharmaceuticals On Private Securities Fraud Actions Stephen M. Sinaiko and Brendan M. Schulman Kramer Levin Naftalis & Frankel LLP June 2005 [P. 16] Rights Plans In An Era Of Stockholder Activism Rod J. Howard Weil, Gotshal & Manges LLP June 2005 [P. 21] Hedge Funds Under Fire: Is There Body Armor Out There? Ernest E. Badway Saiber Schlesinger Satz & Goldstein, LLC June 2005 [P. 33] Is "Going Private" Right For Your Company? Rodney H. Bell, Michael J. Boland and Irma L. Salgado Holland & Knight LLP May 2005 [P. 04] "Pay Now Or Pay Later": Sometimes It Pays To Be The Bad Guy Steven A. Augustino and Darius B. Withers Kelley Drye & Warren LLP May 2005 [P. 14] Prepare To Launch, The IPO Market Has Returned M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP May 2005 [P. 14m] Project: Corporate Counsel - Law Firms Corporate Counsel And Outside Counsel: Serving A Common Client In A Common Cause The Editor interviews Allen B. Roberts , Member, Epstein Becker & Green P.C., New York. May 2005 [P. 39] The Bottom Line... Sarbanes-Oxley Affects Private Companies And Nonprofit Organizations, Too Richard Busis , Steven Haas and Scott Brucker Cozen O'Connor April 2005 [P. 36] Canada - Law Firms The Integration Of U.S. And Canadian Securities Rules: At The Center Of The Evolving North-South Economy The Editor interviews Michael A. Smith, Partner, Winston & Strawn LLP. April 2005 [P. 54] Prepare To Launch, The IPO Market Has Returned M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP March 2005 [P. 04] Circuit Courts Foreclose Retroactive Application Of SOXA's New Statute Of Limitations For Federal Securities Fraud Claims Jeffrey Q. Smith and James K. Goldfarb King & Spalding LLP March 2005 [P. 05] Director Liability: WorldCom And Enron Directors' Recently Proposed Settlements - The New Reality Of Personal Liability For Directors R. William Ide McKenna Long & Aldridge LLP March 2005 [P. 10] Sarbanes-Oxley Whistleblower Protection - Two Years Later - What Hath Enron Wrought? Stanley L. Goodman Grotta, Glassman & Hoffman, P.C. February 2005 [P. 23] SOX And Related Reforms: Where Are We? Peter H. Ehrenberg, Alan Wovsaniker and Shari Ness Lowenstein Sandler PC January 2005 [P. 08] Back To Basics: Some Common Sense Principles For Public Company Financial Disclosure Warren J. Casey Pitney Hardin LLP January 2005 [P. 10] Form 8-K: Questions And Answers Julie M. Allen Allan R. Williams and Richard H. Rowe Proskauer Rose LLP January 2005 [P. 11] Up The Ladder: Litigator Responsibilities Under The Sarbanes-Oxley Act - Part II Dan K. Webb and Scott P. Glauberman Winston & Strawn LLP January 2005 [P. 14] The Italian Corporate Reform And The Financing Of Corporations: What Has Changed? Stefano Crosio and Ruggero Gambarota Gianni, Origoni, Grippo and Partners January 2005 [P. 23] Navigating The Still Murky Post-Sarbanes-Oxley World: A Roadmap For Corporate Counsel The Editor interviews Arlene Elgart Mirsky , Member, Sills Cummis Epstein & Gross P.C., Co-Chair of the Firm's Corporate Governance and Compliance Practice Group and Member of its Corporate, Securities and Banking Department. [Editor's Note] Ms. Mirsky is both the Conference Co-Chair and Moderator of the Panel "Corporate Governance - Who's in Charge" at the January 27 Seminar "Corporate Governance and Compliance Today and Tomorrow - What Corporate Law Departments Need to Know" sponsored by the New Jersey Corporate Counsel Association in conjunction with Sills Cummis Epstein & Gross P.C. and Deloitte & Touche LLP. The purpose of this interview is to focus on the challenges facing corporate counsel in the post-Sarbanes-Oxley environment. January 2005 [P. 30] The Post-Sarbanes-Oxley World - And Professional Liability Insurance The Editor interviews Michael W. Smith , President, National Union's Professional Liability Division. January 2005 [P. 34] Investment Bank Fairness Opinions: The NASD Requests Comment On Whether To Propose New Rule To Address Conflicts Of Interest Julie M. Allen , Peter G. Samuels , Michael A. Woronoff and Jeremy Lechtzin Proskauer Rose LLP December 2004 [P. 10] In-House Counsel's "Constituencies" Professional Obligations In The Post Sarbanes-Oxley World Here Come The Regulators Robert Max Crane Sills Cummis Epstein & Gross P.C. December 2004 [P. 29,36] Responding To SOX: A Class Action Litigator's Perspective The Editor interviews Jeffrey J. Greenbaum , member Sills Cummis Epstein & Gross P.C., Chair, Class Action Practice Group. December 2004 [P. 30] Director Independence Standards: Martha Stewart and Oracle Cases Scrutinize Director Relationships Timothy E. Hoeffner and Jonathan I. Shapiro Saul Ewing LLP November 2004 [P. 24] Proposal To Require Registration Of Advisers To Hedge Funds Martin R. Miller and Joseph Bergman Willkie Farr & Gallagher LLP October 2004 [P. 04] The SEC Proposes Amendments To Rules 16b-3 And 16b-7 Miranda S. Schiller and Monte Albers de Leon Weil, Gotshal & Manges LLP October 2004 [P. 19]
NYSE And Nasdaq Corporate Governance
Amendments Sey-Hyo Lee and Rachel Lee Chadbourne & Parke LLP October 2004 [P. 20]
Corporate Compliance: SEC Adopts Rules Requiring Disclosure On A
Rapid And Current Basis Justin P. Klein Ballard Spahr Andrews & Ingersoll, LLP October 2004 [P. 57]
Help Is On The Way For Financial Reporting Under
Sarbanes! The Editor interviews Neil Goldenberg , Partner-in-Charge of Corporate Governance Services, Eisner LLP. October 2004 [P. 59] SEC Reacts To Scandals By Amending Rules For Investment Advisers' And Investment Companies' Codes Of Ethics Benjamin J. Haskin Willkie Farr & Gallagher LLP September 2004 [P. 05] External Consequences: Internal Investigations After Sarbanes-Oxley Paul R. Bessette , Jennifer R. Brannen and Michelle A. Reed Akin Gump Strauss Hauer & Feld LLP September 2004 [P. 08]
TBS: Helping Companies Meet Sarbanes-Oxley's Internal Control
Standards The Editor interviews Saul Berkowitz , The Managing Director in charge of the Sarbanes-Oxley Consulting Team, American Express Tax and Business Services ("TBS"). September 2004 [P. 46]
Financial Controls Help Law Departments Navigate The Treacherous And
Uncertain Waters In Sarbanes-Oxley's
Wake The Editor interviews Jeffrey L. Hodge , Vice President, Product Marketing, DataCert, Inc. Questions can be addressed to him at jeff.hodge@datacert.com . September 2004 [P. 48] SEC Proposes Registration Of Hedge Fund Managers: Extends Time For Advisers To Distribute Audited Financial Statements Marilyn Selby Okoshi and Christopher M. Wells Coudert Brothers LLP August 2004 [P. 08] 8-K Changes: Safe Harbor, Or False Sense of Security? Joaquin M. Sena Chadbourne & Parke LLP August 2004 [P. 24] 2004 SEC Reporting Rules For Forms 10-K, 10-Q And 8-K; 2004 SEC Reporting Rules For Proxy Statements; Small Business Issuers 2004 SEC Reporting Rules For Forms 10-KSB, 10-QSB And 8-K And Proxy Statements Charles Zall , Patricia Gritzan and Katayun Jaffari Saul Ewing LLP, Editors July 2004 [P. 41] New Form 8-K Disclosures And Filing Deadlines: A Practical Guide - Part II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP June 2004 [P. 09] The SEC's Recent Interpretative Guidance As To MD&A Disclosure: Practical Advice For Companies M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP June 2004 [P. 09m] Corporate America's Nominations Process: The Winds Of Change - Part II The Editor interviews Abbe L. Dienstag and Kenneth P. Kopelman , partners in the Corporate Department of Kramer Levin Naftalis & Frankel LLP and co-chairs of the firm's Corporate Governance Practice Group. June 2004 [P. 12] Corporate Governance For Private Companies After Sarbanes-Oxley Neil H. Aronson and Megan N. Gates Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. June 2004 [P. 28] New Form 8-K Disclosures And Filing Deadlines: A Practical Guide - Part I M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP May 2004 [P. 10] Corporate America's Nominations Process: The Winds Of Change - Part I The Editor interviews Abbe L. Dienstag and Kenneth P. Kopelman , partners in the Corporate Department of Kramer Levin Naftalis & Frankel LLP and co-chairs of the firm's Corporate Governance Practice Group. May 2004 [P. 11] Sarbanes-Oxley Strikes . . . . The First Whistle Has Been Blown David M. Wissert , Julie Levinson Werner , Vincent A. Antoniello Lowenstein Sandler PC May 2004 [P. 12] The SEC's Recent Interpretative Guidance As To MD&A Disclosure: Practical Advice For Companies M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP April 2004 [P. 10] Exchange Rules Impact Compensation Committee Composition Ira G. Bogner and Michael Krasnovsky Proskauer Rose LLP April 2004 [P. 17] Gibbons Del Deo's Alyce Halchak On The Impact Of Sarbanes-Oxley On Private Companies Gibbons, Del Deo, Dolan, Griffinger & Vecchione, P.C. (973) 596-4500 April 2004 [P. 37] Going Private Transactions Michael L. Jamieson and Dino A. Doyle Holland & Knight LLP March 2004 [P. 05] The SEC's Final Rules On Director Nominations And Shareholder Communications With Directors: Form Or Substance? The Editor interviews Yaacov M. Gross , corporate and securities law partner at Willkie Farr & Gallagher LLP. March 2004 [P. 15] Conversation With Yaacov M. Gross, Partner, Willkie Farr & Gallagher LLP, With Respect To Sarbanes-Oxley Developments Yaacov M. Gross Willkie Farr & Gallagher LLP February 2004 [P. 12] SEC Initiatives On Shareholder Access To Director Nominations Louis Rorimer and Lisa K. Kunkle Jones Day February 2004 [P. 20] SEC Approves NASDAQ And NYSE Rules Relating To Corporate Governance And Director Independence Lola Miranda Hale Holland & Knight LLP January 2004 [P. 04] Year-End Sarbanes-Oxley Score Card: The Effective Dates Keep Rolling In Peter H. Ehrenberg and Katherine Varker Lowenstein Sandler PC January 2004 [P. 06] The Latest New Thing For Small And Mid-Sized Public Companies: Going Private - Happy Days Can Be Here Again Robert Max Crane Sills Cummis Epstein & Gross P.C. January 2004 [P. 10] Groups Under Italian Corporate Law Tomaso Cenci and Ruggero Gambarota Gianni, Origoni, Grippo & Partners January 2004 [P. 24] SEC Approves New NYSE And Nasdaq Corporate Governance Standards Robert F. Weber and Michael J. Calhoun Seyfarth Shaw LLP January 2004 [P. 30] Capturing And Reporting Trading Information Efficiently And Effectively The Editor interviews Allen R. Tubb, Vice President, General Counsel and Secretary, SWS Group, Inc. January 2004 [P. 34,55] Financial Statement Fraud, Sarbanes-Oxley And Corporate Governance
John Tonsick Citigate Global Intelligence adn Security January 2004 [P. 42] |
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