41st Annual Securities Regulation Institute
January 27 – 29, 2014 (new Monday–Wednesday format) • Hotel del Coronado, Coronado, CA
Sessions will take place in the Grand Ballroom at the Hotel del Coronado, 1500 Orange Avenue, Coronado, CA.
Session times are subject to change.
Registration, Continental Breakfast
Welcome and Overview
Alan B. Levenson Keynote Address
Speaker: Mary Jo White, Chair, SEC, Washington, D.C.
IPOs and Other Registered Offerings
Steven E. Bochner, Wilson Sonsini Goodrich & Rosati, Palo Alto, California
David J. Chen, Managing Director, Morgan Stanley, San Francisco
Gordon K. Davidson, Fenwick & West LLP, Mountain View, California
Alan F. Denenberg, Davis Polk & Wardwell LLP, Menlo Park, California
Keith F. Higgins, Director, Division of Corporation Finance, SEC, Washington, D.C.
11:30 a.m.–12:45 p.m.
JOBS Act – Impact on "Quasi–Public" Companies
Stanley Keller, Edwards Wildman Palmer LLP, Boston
Alan L. Beller, Cleary Gottlieb Steen & Hamilton LLP, New York City
Jonathan A. Ingram, Acting Chief Counsel, Division of Corporation Finance, SEC, Washington, D.C.
Annemarie Tierney, Executive Vice President – Legal, General Counsel and Corporate Secretary, SecondMarket, Inc., New York City
M&A Trends & Developments
Richard E. Climan
Frederick H. Alexander, Morris, Nichols, Arsht & Tunnell LLP, Wilmington, Delaware
Eileen T. Nugent, Skadden, Arps, Slate, Meagher & Flom LLP, New York City
Alison S. Ressler, Sullivan & Cromwell LLP, Los Angeles
Key Disclosure Issues for 2014
Meredith B. Cross, Wilmer Cutler Pickering Hale and Dorr LLP, Washington, D.C
Mark Kronforst, Associate Director and Chief Accountant, Division of Corporation Finance, SEC, Washington, D.C.
David M. Lynn, Morrison & Foerster LLP, Washington, D.C.
Stephanie D. Marks, Senior Vice President, Securities Law and Corporate Secretary, Discovery Communications, Inc., Silver Spring, Maryland
Christopher Walther, Chief Legal Officer, Activision Blizzard, Inc., Santa Monica, California
Sponsored by MacKenzie Partners, Inc.
Updates from SEC Senior Staff
Division of Corporation Finance
Keith F. Higgins, Director
Shelley E. Parratt, Deputy Director
Jonathan A. Ingram, Acting Chief Counsel
Mark Kronforst, Associate Director and Chief Accountant
Understanding What's Going on with the Numbers: Accounting and Auditing Developments for 2014
John W. White, Cravath, Swaine & Moore LLP, New York City
Jeanette M. Franzel, Member, PCAOB, Washington, D.C.
Michael J. Gallagher, Managing Partner, Assurance Quality & Transformation, PricewaterhouseCoopers LLP, New York City
Michele J. Hooper, President and CEO, The Directors' Council and Audit Committee Chair, PPG Industries, Inc., Wilmette, Illinois
Daniel Murdock, Deputy Chief Accountant, Office of the Chief Accountant, SEC, Washington, D.C.
11 a.m.–12:30 p.m.
Corporate Governance, Shareholder Activism, and the Future of Corporate Boards
David A. Katz, Wachtell, Lipton, Rosen & Katz, New York City
Daniel H. Burch, Chairman & CEO, MacKenzie Partners, Inc. New York City
Thomas A. Cole, Sidley Austin LLP, Chicago
Joele Frank, Managing Partner, Joele Frank, Wilkinson Brimmer Katcher, New York City
Robert McCormick, Chief Policy Officer, Glass Lewis & Co., San Francisco
Frequently Asked Questions
Current and former SEC staff members answer common disclosure and interpretive questions
Martin P. Dunn, Morrison & Foerster LLP, Washington, D.C.
Brian V. Breheny, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.
Keir D. Gumbs, Covington & Burling LLP, Washington, D.C.
Shelley E. Parratt, Deputy Director, Division of Corporation Finance, SEC, Washington, D.C.
Houlihan Lokey Ice Cream Social
Enforcement and Criminal Investigations
Robert S. Khuzami, Kirkland & Ellis LLP, Washington, D.C.
Bradford A. Berenson, Vice President and Senior Counsel for Litigation and Legal Policy, General Electric Company, Fairfield, Connecticut
Andrew Ceresney, Co–Director, Division of Enforcement, SEC, Washington, D.C.
Lorin L. Reisner, Chief of the Criminal Division, U.S. Attorney's Office, Southern District of New York, New York City
Richard H. Walker, General Counsel, Member of the Group Executive Committee, Deutsche Bank AG, New York City
Sponsored by Winston & Strawn LLP
Updates from SEC Senior Staff
Division of Enforcement and Office of the General Counsel
Andrew Ceresney, Co–Director, Division of Enforcement
Anne K. Small, General Counsel
Lynn K. Neuner, Simpson Thacher & Bartlett LLP, New York City
Mark Lebovitch, Bernstein Litowitz Berger & Grossmann LLP, New York City
James P. Smith III, Winston & Strawn LLP, New York City
Myron T. Steele, former Chief Justice, Delaware Supreme Court, Dover, Delaware
Jessica Zeldin, Rosenthal, Monhait and Goddess, P.A., Wilmington, Delaware
11 a.m.–12:30 p.m.
Current Ethical Challenges for Inside and Outside Counsel
John F. Olson, Gibson, Dunn & Crutcher LLP, Washington, D.C.
Dorian Daley, Senior Vice President, General Counsel and Secretary, Oracle Corporation, Redwood Shores, California
Dixie L. Johnson, King & Spalding LLP, Washington, D.C.
Box Lunch Break
Two concurrent sessions
Session 1: Everything You Always Wanted to Know about Securities Law but Were Never Given the Chance to Ask...
Thomas J. Kim, Sidley Austin LLP, Washington, D.C.
Session 2: Private Company M&A: An Exploration of Current Hot Spots and Special Issues
Leigh Walton, Bass, Berry & Sims PLC, Nashville
Rhonda S. Meyer, Senior Vice President, Legal Counsel, Qualcomm Incorporated, San Diego
Jennifer S. Perkins, Latham & Watkins LLP, New York City
Mary Ann Todd, Munger, Tolles & Olson LLP, Los Angeles