40th Annual Securities Regulation Institute
January 23 – 25, 2013 • Hotel del Coronado, Coronado, CA
Sessions will take place in the Grand Ballroom at the Hotel del Coronado, 1500 Orange Avenue, Coronado, CA.
Locations for additional break-out sessions will be posted on–site. Session times are subject to change.
Registration, Continental Breakfast
Welcome and Overview
Overview of the Current Capital Markets
David Erickson, Managing Director and Co–Head of Global Equity Capital Markets, Barclays Capital, New York City
Preparing for the 2013 IPO–Impact of the JOBS Act
Dana G. Fleischman, Latham & Watkins LLP, New York City
Lona Nallengara, Acting Director, Division of Corporation Finance, SEC, Washington, D.C.
Thomas W. Yang, Managing Director and Associate General Counsel, Bank of America Merrill Lynch, New York City
11 a.m.–12:15 p.m.
The JOBS Act–Private Company Developments
Stanley Keller, Edwards Wildman Palmer LLP, Boston
Alan L. Beller, Cleary Gottlieb Steen & Hamilton LLP, New York City
Vijaya Gadde, Corporate Counsel, Twitter, Inc., San Francisco
Josh Green, Partner, Mohr Davidow Ventures, Menlo Park, California
Thomas J. Kim, Chief Counsel and Associate Director, SEC, Washington, D.C.
Alan B. Levenson Keynote Address
Sheila Bair, Former Chair, FDIC and Senior Advisor, The Pew Charitable Trusts, Washington, D.C.
M&A Trends and Developments
Richard E. Climan
Brian J. McCarthy, Skadden, Arps, Slate, Meagher & Flom LLP, Los Angeles
Alison S. Ressler, Sullivan & Cromwell LLP, Los Angeles
Leo E. Strine Jr., Chancellor, Delaware Court of Chancery, Wilmington, Delaware
Federal and State Judicial Developments and Private Litigation
Myron T. Steele, Chief Justice, Delaware Supreme Court, Dover, Delaware
Jill E. Fisch, Perry Golkin Professor of Law; Co–Director, Institute for Law and Economics, University of Pennsylvania Law School, Philadelphia
Stuart M. Grant, Grant & Eisenhofer P.A., Wilmington, Delaware
Lynn K. Neuner, Simpson Thacher & Bartlett LLP, New York City
James P. Smith III, Winston & Strawn LLP, New York City
SEC Senior Staff Workshop
Division of Corporation Finance Staff
Accounting & Auditing Updates
Paul A. Beswick, Chief Accountant, SEC, Washington, D.C.
Jeanette M. Franzel, Board Member, PCAOB, Washington, D.C.
Michael J. Gallagher, Managing Partner, Assurance Quality & Transformation, PricewaterhouseCoopers LLP, New York City
Jamie S. Miller, Vice President, Controller and Chief Accounting Officer, General Electric Company, Fairfield, Connecticut
11 a.m.–12:30 p.m.
Current Issues in Corporate Governance and Stockholder Activism
Lydia I. Beebe, Corporate Secretary and Chief Governance Officer, Chevron Corporation, San Ramon, California
Gloria Bowden, Associate General Counsel and Corporate Secretary, The Coca-Cola Company, Atlanta
David A. Katz, Wachtell, Lipton, Rosen & Katz, New York City
Brandon Rees, Deputy Director of the Office of Investment, AFL-CIO, Washington, D.C.
Anne Sheehan, Director of Corporate Governance, California State Teachers' Retirement System (CalSTRS), Sacramento, California
Join members of the Institute Faculty who will be hosting individual luncheon tables for informal roundtable discussions.
Participating faculty and proposed topics are listed below. Make your selection here.
Participants may also sign up on-site as space permits.
Lydia Beebe – Nominating and Governance Committees, Annual Meetings, Corporate Best Practices
Brian Breheny – Specialized Disclosure Requirements: Conflict Minerals and Resource Extraction Payments
Rick Climan and Jim Smith – Open Discussion, M&A
Bruce Dallas – Conflict Minerals
Marty Dunn and Dave Lynn – Open Discussion
Jill Fisch and Alan Beller – Open Discussion
Jeannette Franzel and Stan Keller – PCAOB Developments
Stuart Grant and Mark Morton – Open Discussion
Keir Gumbs – Open Discussion
Keith Higgins – Open Discussion
David Katz – Open Discussion
Tom Kim – Open Discussion
Michele Layne, Regional Director, SEC – SEC Enforcement
Ann Mule and Carol Ward – Open Discussion
Lynn Neuner – How to Deal with Opt–outs in Larger Securities Class Action Suits
John Olson and Catherine Dixon – Open Discussion
Shelley Parratt – Corporation Finance
Brett Pletcher – Open Discussion
Dean Dan Rodriguez – Open Discussion
Leo Strine – Open Discussion
Leigh Walton – Open Discussion, M&A
A Focus on China–The General Counsel Perspective
Brackett B. Denniston III, Senior Vice President and General Counsel, General Electric Company, Fairfield, Connecticut
Charles J. Kalil, Executive Vice President, General Counsel and Corporate Secretary, The Dow Chemical Company, Midland, Michigan
Kim Rucker, Executive Vice President, Corporate & Legal Affairs, Kraft Foods North America, Northfield, Illinois
Richard H. Walker, Managing Director and General Counsel, Deutsche Bank AG, New York
Break–Ice Cream Social
Sponsored by Houlihan Lokey
Frequently Asked Questions
Current and former SEC Staff answers common disclosure and interpretive questions
Martin P. Dunn, O'Melveny & Myers LLP, Washington, D.C.
Keir D. Gumbs, Covington & Burling LLP, Washington, D.C.
David M. Lynn, Morrison & Foerster LLP, Washington, D.C.
Shelley E. Parratt, Deputy Director, Division of Corporation Finance, SEC, Washington, D.C.
4:45–5:45 p.m. (two concurrent sessions)
Session 1: Acquisitions of Privately Held Companies
Leigh Walton, Bass, Berry & Sims PLC, Nashville
Scott M. Davies, Senior Securities, Governance & Corporate Transactions Counsel, Illumina Inc., San Diego
Sharon R. Flanagan, Sidley Austin LLP, San Francisco
Mark A. Morton, Potter Anderson & Corroon LLP, Wilmington, Delaware
Session 2: The Nuts and Bolts of Drafting your Proxy Statement and Preparing for your Annual Meeting
A panel of experts will go through their tried and true methods of what needs to get done and how best to do it, including drafting pointers and tips for ensuring your annual meeting will be a success.
Margaret M. Foran, Vice President, Chief Governance Officer and Corporate Secretary, Prudential Financial, Inc., Newark, New Jersey
Katharine A. Martin, Wilson Sonsini Goodrich & Rosati, Palo Alto, California
Ann C. Mule, Associate Director, John L. Weinberg Center for Corporate Governance, University of Delaware, Newark, Deleware; former Chief Governance and Compliance Officer, Assistant General Counsel and Corporate Secretary for Sunoco, Inc., Philadelphia
Carol J. Ward, Vice President and Corporate Secretary, Mondelez International, Inc., Deerfield, Illinois
SEC Senior Staff Workshop
Robert Khuzami, Division of Enforcement
Richard H. Walker
Enforcement and Criminal Investigations
Richard H. Walker
Randall R. Lee, Wilmer Cutler Pickering Hale and Dorr, Los Angeles
Lorin L. Reisner, Chief of the Criminal Division, U.S. Attorney's Office for the Southern District of New York, New York City
Linda Chatman Thomsen, Davis Polk & Wardwell LLP, Washington, D.C.
11 a.m.–12:30 p.m.
Ethical Dilemmas for Disclosure Lawyers
John F. Olson, Gibson, Dunn & Crutcher LLP, Washington, D.C.
Dixie L. Johnson, Fried, Frank, Harris, Shriver & Jacobson LLP, Washington, D.C.
Brett Pletcher, Senior Vice President and General Counsel, Gilead Sciences Inc., Foster City, California
Lynn Stout, Distinguished Professor of Corporate & Business Law, Cornell University Law School, Ithaca, New York
Box Lunch Break
Everything You Always Wanted to Know about Securities Law but Were Never Given the Chance to Ask...
Brian V. Breheny, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.