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• Understand current issues in securities filings anddisclosure obligations following Dodd-Frank
• Master critical drafting techniques through expertdemonstrations and presentations
• Learn the mechanics and implications of risk disclosuresin ’33 and ’34 Act filings
• Hear directly from the source about the current areas offocus for SEC Division of Corporation Finance Staff
Satisfy Your CLE and CPE Requirements!
Special Features
Drafting SecuritiesFilings 2011
New York City,* October 13-14, 2011
San Francisco, November 3-4, 2011
Live Webcast, November 3-4, 2011 — www.pli.edu
Chicago, November 14-15, 2011
Do You Know There Are 5 Ways To Attend
PLI’s Programs? See inside for details...
Register Online at www.pli.eduor Call (800) 260-4PLI���
• Hands-on drafting exercises including MD&A and CD&A
• Earn up to one full hour of Ethics credit
• NY Transitional Attorneys can earn up to 1.5 hours of Skills credit
*This is an approved transitional program
R e s e r v e y o u r p l a c e t o d a y , c a l l ( 8 0 0 ) 2 6 0 - 4 P L I .
Why You Should AttendThis hands-on drafting workshop will analyze in detail the principal forms used for filingswith the SEC under the Securities Act of 1933 (“Securities Act”), and the SecuritiesExchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporatepractical tips and/or interactive drafting exercises.
Ethics credit and recent and proposed legislation and SEC rule changes affecting disclosureobligations will be woven within the topics covered.
What You Will Learn• Overview of the disclosure cycle and the integrated disclosure system; Regulations S-K,S-X and M-A
• Exchange Act registration and reporting, including Forms 10-K, 10-Q, 8-K and more
• Securities Act registration statements, including discussion of eligibility, the draftingprocess, 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, theshareholder proposal process, and year-end timing and filing issues, including the SEC’sproxy access and “say-on-pay” rules
• Securities filings used in mergers, acquisitions and other significant corporate transactions
• Section 16 filings
• Mechanics and implications of risk disclosures in both Securities Act and Exchange Act filings
• Review procedures in the SEC’s Division of Corporation Finance
• Current issues in securities filings resulting from the Dodd-Frank Wall Street Reform andConsumer Protection Act
Who Should AttendPractitioners interested in learning about and understanding the securities laws, as well asthose who would like a review of the area. This course may also be suitable for othercorporate, litigation and business law attorneys who handle cases where issues under thesecurities laws can arise.
Live Webcast at www.pli.eduThe San Francisco session of this program is available live via the web at www.pli.edu:
• Print the Course Handbook
• Submit questions electronically
• Get “real-time” education right from your PC!
If you have any questions please call PLI’s Customer Relations Department at (800) 260-4PLI.
Drafting Securities Filings 2011New York City, October 13-14, 2011
San Francisco, November 3-4, 2011
Live Webcast, November 3-4, 2011 — www.pli.edu
Chicago, November 14-15, 2011
Program Attorney: Danielle T. Bersofsky
Co-Chairs Steven V. BernardWilson Sonsini Goodrich & Rosati, PCPalo Alto
F A C U L T Y
John A. BickDavis Polk & Wardwell LLPNew York City
Mark A. BorgesPrincipalCompensia, Inc.Corte Madera, California
Laura L. DelanoyWillkie Farr & Gallagher LLPNew York City
Kathleen M. EmbergerCleary Gottlieb Steen & Hamilton LLPNew York City
N. Adele HoganCadwalader, Wickersham & Taft LLPNew York City
Jay IngramLegal Branch ChiefDivision of Corporation FinanceU.S. Securities and Exchange CommissionWashington, D.C.
Vasiliki B. TsaganosFried, Frank, Harris, Shriver & Jacobson LLP Washington, D.C.
Michael S. WinogradWilson Sonsini Goodrich & RosatiNew York City
Chair Steven V. BernardWilson Sonsini Goodrich & Rosati, PCPalo Alto
William F. AldermanOrrick, Herrington & Sutcliffe LLPSan Francisco
Mark A. BorgesPrincipalCompensia, Inc.Corte Madera, California
Armando CastroReed Smith LLPPalo Alto
Bruce K. DallasDavis Polk & Wardwell LLPMenlo Park, California
Michael S. DorfShearman & Sterling LLPSan Francisco
Karen K. DreyfusSidley Austin LLPPalo Alto
Stephen E. GilletteJones DayPalo Alto
Jonathan W. HughesHoward Rice Nemerovski Canady
Falk & Rabin, PCSan Francisco
Jackie Liu Morrison & Foerster LLPSan Francisco
Russell MancusoLegal Branch ChiefDivision of Corporation FinanceU.S. Securities and Exchange CommissionWashington, D.C.
Brooks StoughGunderson Dettmer Stough Villeneuve
Franklin & Hachigian, LLPRedwood City, California
Ann Yvonne WalkerWilson Sonsini Goodrich & Rosati, PCPalo Alto
S A N F R A N C I S C O A N D L I V E W E B C A S T
Chair Gary M. BrownChief Executive Officer CMG Life Services Inc.Naples, FloridaAuthor, Soderquist on the Securities Laws (PLI)
Cathy A. BirkelandLatham & Watkins LLPChicago
Mark A. BorgesPrincipalCompensia, Inc.Corte Madera, California
Tonya M. GrindonBaker, Donelson, Bearman,
Caldwell & Berkowitz PCNashville, Tennessee
Keir D. GumbsCovington & Burling LLPWashington, D.C.
James J. JunewiczWinston & Strawn LLPChicago
Jennifer Durham King Vedder Price P.C.Chicago
Elizabeth Clough KitslaarJones DayChicago
Thomas KluckLegal Branch ChiefDivision of Corporation FinanceU.S. Securities and Exchange CommissionWashington, D.C.
Gerald T. NowakKirkland & Ellis LLPChicago
Mark D. WoodKatten Muchin Rosenman LLPChicago
C H I C A G O
N E W Y O R K C I T Y
Gary M. BrownChief Executive Officer CMG Life Services Inc.Naples, FloridaAuthor, Soderquist on the Securities Laws (PLI)
Please plan to arrive with enough time to register before the conference begins.
A networking breakfast will be available upon your arrival.
P R O G R A M
Morning Session: 9:00 a.m. – 12:30 p.m.
9:00
Introduction and Opening RemarksNYC & CHI: Gary M. BrownSF & WEB: Steven V. Bernard
9:15
Overview of the FederalSecurities Laws• Securities Act of 1933 and related forms• Securities Exchange Act of 1934 and related forms• Integrated disclosure system• Regulation S-K — Summary of Line Item Disclosure• Regulation S-X
NYC: Gary M. Brown, N. Adele HoganSF & WEB: Karen K. Dreyfus, Ann Yvonne WalkerCHI: Gary M. Brown
10:15
Effects of ’34 Act Registration• Filing requirement “triggers” – Sections 12(b),
12(g) and 15(d)• Filing requirements under Section 13• Filing requirements under Section 14• Filing requirements under Section 16• Third party filings (e.g., Schedules 13D, 13G,
Forms 3, 4 and 5)
NYC: Gary M. Brown, Kathleen M. EmbergerSF & WEB: Karen K. Dreyfus, Ann Yvonne WalkerCHI: Mark D. Wood
11:15 Networking Break
11:30
MD&A and the Annual Report to Shareholders• Relationship to financial statements and
financial disclosure• Current Commission focus on MD&A topics• Enforcement actions• Additional disclosure items for the annual
report to shareholders• MD&A drafting exercise
NYC: Gary M. Brown, Laura L. DelanoySF & WEB: Steven V. Bernard, Brooks Stough CHI: James J. Junewicz
12:30 Lunch
Afternoon Session: 1:30 p.m. – 5:00 p.m.
1:30
Proxy Statements• Up-to-the-minute overview of rules• Preliminary and definitive filings• SEC’s proxy access and “say on pay” rules• Shareholder proposal process• Drafting CD&A and related compensation disclosures
NYC, SF, CHI & WEB: Mark A. Borges
2:30 Networking Break
2:45
The Disclosure CycleA.The Duty to Disclose• Disclosure beyond the line items:
the sources of the duty to disclose• Duty to update and duty to correct• Missing guidance — breaking the bad newsB. Quarterly Earnings Cycle• Earnings announcement; “outlook”;
investor/analyst call• Quarterly report on Form 10-Q• Regulations G and FDC. Form 10-K Disclosure Requirements• Summary of contents• Coordination with proxy materials
NYC: Gary M. BrownSF & WEB: Steven V. BernardCHI: Gerald T. Nowak
4:00
Current Report on Form 8-K• Events triggering obligation to file• Use of 8-K to satisfy other filing requirements• “Furnished” vs. “filed” reports• The “safe harbor”• 8-K “traps”
NYC: Kathleen M. EmbergerSF & WEB: Jackie Liu CHI: Keir D. Gumbs
5:00 Adjourn
Day One: 9:00 a.m. – 5:00 p.m.
S C H E D U L E
Day Two: 9:00 a.m. – 5:00 p.m.
Morning Session: 9:00 a.m. – 12:30 p.m.
9:00
Deconstructing the RegistrationStatement; the Regulatory Process• Form eligibility considerations (e.g., S-1, S-3)• The drafting process and how to add value• Making the initial filing• Confidential treatment requests• Incorporation by reference• “Experts” and consents• Section 5 and the communication rules• Electronic road shows• Liability issues• Risk disclosure
- Drafting risk factors- PSLRA safe harbor rules- “Bespeaks caution” doctrine
• Review Procedures in the Division of Corporation Finance- Brief overview of the division- Processing ‘33 Act filings- Current Staff focus
NYC: Jay Ingram, Vasiliki B. Tsaganos, Michael S. WinogradSF & WEB: William F. Alderman, Stephen E. Gillette,Russell MancusoCHI: Cathy A. Birkeland, Jennifer Durham King, Thomas Kluck
11:00 Networking Break
11:15
Deconstructing the Registration Statement; the Regulatory Process (Continued)
NYC: Jay Ingram, Vasiliki B. Tsaganos, Michael S. WinogradSF & WEB: William F. Alderman, Stephen E. Gillette,Russell MancusoCHI: Cathy A. Birkeland, Jennifer Durham King, Thomas Kluck
12:30 Lunch
Afternoon Session: 1:30 p.m. – 5:00 p.m.
1:30
Current Issues in Securities Practice• Recent legislative developments affecting the federal
securities laws• Recent judicial developments• Review of recent and proposed SEC rule changes• Dodd-Frank: current effects and future implications
NYC & CHI: Gary M. Brown and PanelSF & WEB: Armando Castro, Bruce K. Dallas and Panel
2:45 Networking Break
3:00
Ethical Dilemmas in Preparationand Review of SEC Filings • Ethical considerations in SEC practice• Lawyers as “gatekeepers”• The SEC’s “reporting up” rules• 2(e) (now 102(e)) proceedings• Implications of new whistleblower rules
NYC: Gary M. Brown, Jay IngramSF & WEB: Jonathan W. Hughes CHI: Tonya M. Grindon, Thomas Kluck
4:00
Securities Filings in M&A Transactions• ’33 Act Issues — Form S-4 and Rule 425• Tender Offers — Schedules TO and 14D-9• “Going Private” transactions — Schedule 13E-3• Exempt offerings in M&A transactions
- Regulation D and fairness hearings
NYC: John A. Bick SF & WEB: Michael S. DorfCHI: Elizabeth Clough Kitslaar
5:00 Adjourn
Mergers, Acquisitions and Tender Offers: Law and StrategiesSamuel C. Thompson, Jr. (Professor of Law, Dickinson School of Law —Pennsylvania State University)
4 looseleaf volumes, 5,174 pages, $395 $256.75 (Updated annually or as needed: No charge for revision issued within 3 months of purchase)
Soderquist on the Securities Laws Fifth EditionGary M. Brown (CMG Life Services Inc., Naples, Florida)
1 looseleaf volume, 640 pages, $285 $185.25 (Updated annually or as needed: No charge for revision issued within 3 months of purchase)
Visit the PLI Bookstore the day of the program to receive your discount!
PLI’s Nationally Acclaimed Course HandbooksAll program attendees will receive a copy of the Course Handbook Drafting SecuritiesFilings 2011, either in one bound volume or on a flash drive. The Course Handbook isprepared specifically for this program and also stands alone as a permanent reference.PLI’s Course Handbooks represent the definitive thinking of the nation’s finest legal minds,and are considered the standard reference in the field. The Course Handbook will beavailable on the first day of the program. Please note: Webcast attendees will have accessto a downloadable version of the Handbook one business day prior to the program.
Pro Bono EffortsSince 1933, PLI has been the comprehensive resource for the training and developmentneeds of legal professionals. PLI is heavily involved in pro bono and research anddevelopment activities to ensure that all practicing attorneys and law students remain onthe cutting edge. These activities include awarding full and partial scholarships to ourInstitutes and Programs, assisting public interest organizations in their training needs, andhelping law students become first-rate attorneys by posting free lectures on our web siteand offering free MPRE courses. For more information, go online to pro-bono.pli.edu.
PLI ScholarshipsPlease check the Registration Information section of this brochure for more informationabout PLI scholarships.
Cost is not a concern for Individual Privileged Members. Individual Privileged Members have the complete freedom to
attend as many of PLI’s 300+ annual programs and Live Webcasts
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New York City Hotel Accommodations: Due to high demand and limited inventory in NYC, we recommendreserving hotel rooms as early as possible. Hilton New York Hotel, 1335 Avenue of the Americas, New York, New York10019. Reservations (877) NYC-HILT. Please mention you are booking aroom under the Practising Law Institute Corporate Rate and the Client FileN# is 0495741. You may also book reservations online: go to www.pli.edufor this program, click Hilton link to see preferred rates. Enter requesteddates and Practising Law Institute rates will appear.
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San Francisco Hotel Accommodations: Due to high demand in SF, we recommend reserving hotel rooms asearly as possible. The Palace Hotel, 2 New Montgomery Street, San Francisco, California94105. Call (800) 917-7456 seven days a week from 6:00 a.m. to 12:00 a.m.(PT) and mention you are attending this PLI program at Practising LawInstitute to receive the preferred rate. For online reservations, go towww.sfpalace.com/pli to receive the preferred rate.
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Chicago Hotel Accommodations: InterContinental ChicagoMagnificent Mile, 505 North Michigan Avenue, Chicago, Illinois 60611.(800) 628-2112. Please contact hotel directly in order to receive thepreferred rate. When calling, please mention PLI and the name of theprogram you are attending. The cut-off date for the preferred rate is October 21, 2011.
Payment Policy: Registration fees are due in advance. Attendees maypay by check, Visa, MasterCard, American Express or Diners Club.
Cancellations: All cancellations received 3 business days prior to theprogram will be refunded 100%. If you do not cancel within the allottedtime period, payment is due in full. You may substitute another individual toattend the program.
PLI’s Scholarship/Financial Hardship Policy: Full and partialscholarships to attend PLI programs are available to pro bono attorneys,judges, judicial law clerks, law professors, attorneys 65 or older, lawstudents, librarians and paralegals who work for nonprofit organizations,legal services organizations or government agencies, unemployed attorneysand others with financial hardships. To apply, send your request on youremployer’s letterhead, stating the reason for your interest, along with thecompleted registration form on this brochure, to the PLI ScholarshipCommittee. All applications must be accompanied by a $25 application fee(this fee is waived for judicial law clerks), and must be submitted fourweeks before the date of the program you wish to attend. (Applicants maypay by check or credit card.) If the request for a scholarship is denied, the$25 application fee will be returned. Students must also submit a copy oftheir student ID card.
Education Course Credit: States have widely varying regulationsregarding Continuing Education credit, therefore, please contact PLI formore information concerning approval.
New York State CLE Credit: This TRANSITIONAL continuing legaleducation program has been approved in accordance with the requirementsof the New York State Continuing Legal Education Board for attorneysadmitted after October 1, 1997 and experienced attorneys. It has beenapproved for a maximum of 15.0 credit hours, of which 1.0 credit hour canbe applied toward the ethics requirement, 1.5 credit hours can be appliedtoward the skills requirement and 12.5 credit hours can be applied towardthe professional practice requirement. Audio and videotapes are notacceptable for transitional continuing legal education for the newly admittedattorney within the first two years of admission to the Bar.
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Continuing Professional Education Course Credit: RecommendedCPE credit: 15.0 hours, in which 15.0 credit hours will apply to SpecializedKnowledge & Application. Delivery Method: Group-Live. Program Level:Basic. Prerequisites: No prerequisites required. Advanced Preparation: No advanced preparation required. The Practising Law Institute is registeredwith the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registryof CPE Sponsors. State boards of accountancy have final authority on theacceptance of individual courses for CPE credit. Complaints regardingregistered sponsors may be addressed to the National Registry of CPESponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417.Web site: www.nasba.org. Email [email protected] regarding complaintsand refund policy.
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Illinois CLE Credit: PLI is an accredited provider in Illinois.
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