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Optional Pre-Conference Briefing:
Shareholder Activism: Finding the Balance
N o v e m b e r 8 - 1 0 , 2 0 0 7
N o v e m b e r 7 , 2 0 0 7
39th Annual Inst i tute on
Steven E. BochnerWilson SonsiniGoodrich & RosatiPalo Alto
David B. HarmsSullivan &Cromwell LLPNew York City
Mary Jo WhiteDebevoise &Plimpton LLPNew York City
New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
PLATINUM SPONSOR
SecuritiesRegulation
P r a c t i s i n g L a w I n s t i t u t e ®
Sat isfy Your CLE Requi rements!
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Memo from the Chairs :
Steven E. BochnerWilson Sonsini Goodrich
& Rosati
David B. HarmsSullivan & Cromwell LLP
Mary Jo WhiteDebevoise & Plimpton LLP
Practising Law Institute is proud to announce the 39th Annual Institute on Securities Regulation, the mostprestigious event of its kind, anywhere. Over nearly fourdecades, the Institute has consistently provided securitieslawyers with the critical information of the day, supplementedby keen analysis and insightful, original written materialspresented by esteemed practitioners who have committed theirprofessional lives to assessing the impact of the latestdevelopments in securities law. This year’s Institute willcontinue to build on this blue-ribbon tradition of excellence aswe again explore the ever-changing securities law environment.
2007 is fast becoming a transformative year, as economicglobalization begins to shape securities markets worldwide.The completion of the New York Stock Exchange and Euronextmerger, as well as the proposed NASDAQ and OMX merger,signal more cross-border consolidation to come, highlightingthe increasing globalization of the securities markets and theintense competition for IPOs and issuer listings generally.
Shareholder activism, especially by hedge funds,continues to drive a struggle for the balance of power in publiccorporations. Issues surrounding the backdating of stockoptions and related accounting issues, along with executivecompensation issues, occupy boards of directors, marketparticipants, the SEC and even Congress.
This year also witnessed a continuation of the trendtoward increased going private transactions, whether byprivate equity firms or other entities and individuals, and wewill consider both the processes involved and the implicationsfor the broader markets. There has been considerablediscussion and some reform of the position of governmentprosecutors and regulators on requesting companies to waivethe attorney-client privilege. Furthermore, recent andincreasing allegations of insider trading, especially involvingcompanies that go on to receive buy-out offers, has served toadd grist to a securities market mill that is already running 24hours a day. Within this broad context, our three-day agenda isas expansive as it is exciting.
As activist shareholders continue to drive much of thecorporate agenda and because of their prominence, they will takecenter stage at this year’s Pre-Conference Briefing, ShareholderActivism: Finding the Balance, to be held Wednesday, November7th. Under the guidance of Harvey J. Goldschmid, DwightProfessor of Law at Columbia University School of Law andFormer SEC Commissioner, a stellar panel will take an in-depthlook at a wide range of issues, such as the proper role, if any, ofshareholders in executive compensation decisions; best practicesfor the Compensation Committee; whether the activism movementis causing dissension in the boardroom; the role of hedge funds;and the future of proportional voting for directors as an answer tothe power struggle. Through it all, the faculty will examine thepositive contributions of shareholder activism and, with the insightgained from exploring the issues, the panel will also take a forwardlook at what you can expect for the 2008 proxy season.
This year’s Institute faculty represents the best that privatepractice, the judiciary, investment banks and accounting firms, aswell as the SEC, DOJ, PCAOB and other regulators have to offer. Allare eager to share their unique insights and expertise with you.
We invite you to join us in New York City for what promises tobe the best Institute yet. But if you can’t attend in person, PLI willlive webcast both the Pre-Conference Briefing and the Institute onour website at www.pli.edu and will offer time-delayedvideoconferencing at PLI’s California Center in San Francisco. Web attendees may choose between streaming audio or video andwill have access to the downloadable, electronic version of thecorresponding course handbook. In addition, purchase of the livewebcast includes access to the on-demand archive of the programfor one year.
If you’d like to broadcast the Institute directly to your firm forgroup viewing, send an e-mail to the Groupcasts Department atgroupcasts@pli.edu to arrange for a Groupcast.
We believe that the 39th Annual Institute on SecuritiesRegulation will be the most comprehensive securities conferenceavailable to you. And we are pleased to partner with PLI to provideyou with the best content and strategies for making your practiceeverything it can be in the service of your clients. We look forwardto seeing you in November.
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Optional Pre-Conference Briefing to the
This year’s Pre-Conference Briefing will focus on Shareholder Activism: Finding the Balance. As activist shareholders becomean increasingly influential part of the corporate landscape, it is important to understand the role of shareholder activism, its limits,and its influence on corporate functions. Harvey J. Goldschmid, Dwight Professor of Law at Columbia University School of Law andFormer SEC Commissioner, will lead an expert faculty as they explore the current notions of shareholder activities and agendas. Thisbriefing will address the shareholder agenda for the 2008 proxy season, the role of shareholders in executive compensation andmajority voting, and the ways to find a productive balance between independent boards and shareholder activists.
Shareholder Activism: Finding the Balance
N o v e m b e r 7 , 2 0 0 7New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
12:00 Introductory RemarksHarvey J. Goldschmid – Chair
Steven E. Bochner
David B. Harms
Mary Jo White
12:30 2008 Proxy Season: The Shareholder Agenda• Key areas of focus• Shareholder proposals and Rule 14a-8 issues• Poison pills and other defensive measures• Counseling the board of directors in a changing
environmentPatrick S. McGurn
John F. Olson
Lynn E. Turner
John W. White
1:30 The Role of Shareholders in ExecutiveCompensation; Compensation in the Courts• What role should shareholders play?• Legislative and regulatory proposals• Recent court decisions impacting compensation
processes• Equity award policies and procedures• Compensation Committee best practicesLucian A. Bebchuk
John H. Biggs
Thomas A. Cole
Justice Jack B. Jacobs
2:30 Break
2:45 Majority Voting and Shareholder Access• Recent judicial and regulatory developments• Implications of NYSE Rule 452• The evolution of majority voting proposals• Responding to proposals; preparing the board• The balkanization of corporate governanceArthur Fleischer, Jr.
Margaret M. Foran
E. Norman Veasey
Ann L. Yerger
3:45 Finding a Balance Between IndependentBoards and Shareholder Activists: Counselingand Policy Issues• Contributions of activist shareholders• Dissension in the boardroom• Profit maximization and other activist goals• Proportional voting and empty voting• Hedge funds as activistsBrian G. Cartwright
Arthur Levitt
Simon M. Lorne
Damon Silvers
4:45 Q&A
5:00 Adjourn
Program Schedule Please plan to arrive with enough time to register before the conference begins. A light lunch will be available upon your arrival. Webcast times are all E.S.T. The San Francisco location is local time.
39th Annual Inst i tute on Securities Regulation
Program Attorneys: Anita C. Shapiro and Laura R. Shields
FACULTY
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Pre-Conference Briefing Shareholder Activism: Finding the Balance
Chair:
Co-Chairs: Steven E. BochnerWilson Sonsini Goodrich
& Rosati Palo Alto
David B. HarmsSullivan & Cromwell LLPNew York City
Mary Jo WhiteDebevoise & Plimpton LLPNew York City
Harvey J. GoldschmidDwight Professor of LawColumbia University School of Law New York City(Former Commissioner, Securities and Exchange Commission)
Lucian A. BebchukWilliam J. Friedman and Alicia Townsend
Friedman Professor of Law, Economics, and Finance
Director, Program on Corporate GovernanceHarvard Law SchoolCambridge, Massachusetts
John H. BiggsFormer Chairman & CEOTIAA-CREFNew York City
Brian G. CartwrightGeneral CounselSecurities and Exchange CommissionWashington, D.C.
Thomas A. ColeSidley Austin LLPChicago
Arthur Fleischer, Jr.Fried, Frank, Harris, Shriver & Jacobson LLPNew York City
Margaret M. ForanSenior Vice President – Corporate GovernanceAssociate General Counsel and Corporate
SecretaryPfizer, Inc.New York City
Justice Jack B. JacobsSupreme Court of DelawareWilmington, Delaware
Arthur LevittSenior AdvisorThe Carlyle GroupNew York City(Former Chairman,
Securities and Exchange Commission)
Simon M. LorneVice Chairman, Chief Legal Officer Millennium Partners, L.P.New York City
Patrick S. McGurnExecutive Vice President & Special CounselInstitutional Shareholder ServicesNew York City
John F. OlsonGibson, Dunn & Crutcher LLPWashington, D.C.
Damon SilversAssociate General CounselAFL-CIOWashington, D.C.
Lynn E. TurnerFormer Chief AccountantSecurities and Exchange CommissionWashington, D.C.
E. Norman VeaseyFormer Chief Justice of the Supreme Court
of DelawareWeil, Gotshal & Manges LLPWilmington, Delaware
John W. WhiteDirectorDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
Ann L. YergerExecutive DirectorCouncil of Institutional InvestorsWashington, D.C.
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N o v e m b e r 8 - 1 0 , 2 0 0 7
39th Annual Inst i tute on
Securities Regulation
New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
The 39th Annual Institute on Securities Regulationpromises to once again deliver up-to-the-minute information onSEC initiatives and securities lawissues and offer critical insightson and practical solutions to thechallenges confronting you andyour clients in today’s demandingregulatory environment. Co-chairs Steven E. Bochner ofWilson Sonsini Goodrich &Rosati, David B. Harms ofSullivan & Cromwell LLP, andMary Jo White of Debevoise &Plimpton LLP have gathered anexpert faculty from the privatesector, corporate lawdepartments, investment banks,the judiciary, accounting firms,academia, and the government,all of whom will share their viewson the most pressing securitiesissues and suggest workableapproaches for developing keystrategies that will ensuresuccess in your practice.
Day One kicks off with a keynote address by Robert Greifeld, President and Chief Executive Officer,The NASDAQ Stock Market, Inc. Then, John W. White, Director, Division of Corporation Finance at theSecurities and Exchange Commission, along with Deputy Directors Martin P. Dunn and Shelley E.Parratt, will provide a first-hand update on the important developments and priorities at the SEC. Thisdiscussion will be followed by an in-depth, practical look at current disclosure and accounting issues.The first afternoon session will address the timely issues relating to the capital formation processincluding small business capital raising and unregistered offerings. The focus will then shift tocorporate governance issues including the evolving notions of director independence and the shiftingpendulum of director liability, equity award policies, trading policies and legal compliance programs.An examination of important ethical issues in the corporate arena will round out the discussions on thisfirst day of the Institute.
Day Two offers a keynote address entitled “Democracy and the Corporation” by Joseph A. Grundfest,William A. Franke Professor of Law & Business and Co-Director, Rock Center on CorporateGovernance at Stanford University School of Law, which will lead into an examination of issuesarising between shareholder activists and boards of directors. The program will then shift gears toexamine public offering developments, including best practices for building a due diligence defense.The perennial favorite Q&A lunch will allow attendees to ask their pressing securities questions directlyto John W. White, Director, Division of Corporation Finance and Martin P. Dunn, Deputy Director,Division of Corporation Finance at the Securities and Exchange Commission. In the afternoon, panelswill explore public company mergers and acquisitions and take an in-depth look at the growing role ofthe international financial markets and examine best practices for U.S. counsel. Finally, the day willconclude with an update on the latest developments in private equity and hedge funds.
Day Three focuses on important SEC enforcement trends and priorities. A panel of government andprivate experts will share their perspectives on a wide array of topics, including a discussion of themajor cases and current priorities at the SEC, corporate penalties, accounting frauds, the optionsinvestigations, waiver of privileges, and the effect that the PCAOB has on enforcement proceedings. The panel on criminal enforcement will examine the impact of deferred prosecution agreements, parallelproceedings and payment of employees’ legal fees, as well as review waiver and charging issues inlight of the McNulty Memo. The session entitled “Internal Investigations – Practical Advice” will offerbest practices in this increasingly important area. To conclude, the faculty will address thedevelopments in private securities litigation from both the plaintiff and defense perspective.
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DAY ONE – Disclosure and Corporate Governance
Thursday, November 8, 2007, 9 :00 a.m. – 5 :00 p.m.
Program Schedule
Morning Session 9:00 a.m. – 12:45 p.m.
9:00 Keynote AddressRobert Greifeld
President and Chief Executive Officer
The NASDAQ Stock Market, Inc.
9:30 SEC Update• Outlook on 2008 rulemaking
developments• Staff report on implementing the
new executive compensation rules• Recent rulemaking, no-action letters
and FAQs• Key areas of focus in the ‘34 Act
comment process • Other staff prioritiesDavid B. Harms (Moderator)
Martin P. Dunn
Shelley E. Parratt
John W. White
10:30 Current Disclosure Issues• MD&A and 8-K developments and
recommendations• Selected executive compensation
disclosure practices• Disclosing related party
transactions• Earnings guidance best practices• Other best practices – Regs. FD & GDavid B. Harms (Moderator)
Martin P. Dunn
Paul Michalski
Louise M. Parent
11:30 Break
11:45 Current Accounting andAuditing Issues• Summary of key accounting issues
for securities counsel • Current hot topics for the SEC staff • SEC 404 guidance and the PCAOB’s
AS 5 • Addressing materiality
determinations • Key issues for the Audit Committee
in 2008 • The prospects for international
financial reporting standards Karl A. Groskaufmanis (Moderator)
Daniel L. Goelzer
Robert J. Kueppers
12:45 Lunch Break
Afternoon Session 1:45 p.m. – 5:00 p.m.
1:45 Revisions in CapitalFormation: New RuleProposals • Elimination of SB forms• Access to S-3 by S-1 issuers• Section 12 (g) exemptions for
employee stock options• New Regulation D• Electronic Form D• Rule 144 amendments• Private offering issues - dealing
with general solicitation andintegration
John T. Bostelman (Moderator)
Stephen M. Graham
Keith F. Higgins
Gerald J. Laporte
John W. White
2:45 Corporate Governance Issues • Evolving notions of director
independence• Determining independence and use
of categorical standards• Policies for approving related party
transactions• Structuring equity award policies• Dealing with perks• Legal compliance programs and the
board of directors• Executive trading policies –
blackouts, rule 10b5-1 plans,company repurchases
• Disclosure controls and procedures• Shift with respect to director
liability since DisneyJames R. Doty (Moderator)
Ralph C. Ferrara
Margaret M. Foran
Ann L. Yerger
3:45 Break
4:00 Ethical Issues (1 hour ethics)• Conflicts and confidentiality in
internal investigations• Multi-jurisdictional practice and the
corporate lawyer• Advance conflict waivers• Supervising investigators – the
pretexting nightmareBarbara S. Gillers (Moderator)
Honorable Jed S. Rakoff
5:00 Adjourn
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DAY TWO – Shareholder Act iv ism, Corporate Finance and
Business Combinations
Friday, November 9, 2007, 9 :00 a.m. – 5 :00 p.m.
Please plan to arrive with enough time to register before the conference begins. A continental breakfast will be available upon your arrival.
Webcast times are all E.S.T. The San Francisco location is local time.
Morning Session: 9:00 a.m. – 12:00 p.m.
9:00Keynote Address
“Democracy and theCorporation”Joseph A. Grundfest
William A. Franke Professor of Law &Business and Co-Director, Rock Centeron Corporate Governance
Stanford University School of Law
9:45 Shareholder Activism and theBoard of Directors• Counseling the board of directors in
an era of shareholder activism• Handling majority voting and other
proposals• Implications of NYSE Rule 452;
proportional voting• The future of shareholder proxy
access• Electronic proxy – universal access• Empty votingSteven E. Bochner (Moderator)
Martin P. Dunn
Joele Frank
John C. Wilcox
Jeffrey R. Wolters
10:45 Break
11:00 Public Offering Developments• Building the due diligence defense-
challenges and approaches• Avoiding SEC and SRO regulatory
pitfalls • The capital markets in 2008 – new
financing techniques• Recent SEC pronouncements and
PIPES• Developments in the IPO market• SEC review prioritiesMary A. Bernard (Moderator)
William H. Hinman, Jr.
Curtis L. Mo
Marc H. Morgenstern
Shelley E. Parratt
12:00 Break
12:15 Q&A Picnic Lunch
Priorities at the Division ofCorporation FinanceJohn W. White and Martin P. Dunn
1:15 Break
Afternoon Session 1:30 p.m. – 5:00 p.m.
1:30 Mergers and Acquisitions• The impact of shareholder
proposals on takeover defenses• Non-solicits and lock-ups – what is
state of the art• Business judgment rule
developments – implications ofNetsmart
• Structuring the effective specialcommittee
• Selected due diligence issues andtechniques in today’s environment
Gregory V. Varallo (Moderator)
Brian V. Breheny
Vice Chancellor Stephen P. Lamb
Patricia A. Vlahakis
2:30 The International Arena• Foreign issuers and U.S. regulation• International financial reporting
standards (IFRS) and U.S. GAAP• The impact of AIM and other
alternative markets• SOX 404 and governance relief –
how meaningful? • Top ten list for U.S. counsel
representing foreign issuersRichard D. Truesdell, Jr. (Moderator)
Paul M. Dudek
Mary Ann Jorgenson
3:30 Break
3:45 Private Equity and HedgeFund Update• An overview of the impact of
private equity on the capitalmarkets
• Regulatory update and outlook • M&A and the private equity firm• Representing the target in PE
buyout – management vs. theboard
• Responding to the activist fundSimon M. Lorne (Moderator)
Martin W. Korman
Geoffrey W. Levin
Jon Woodruff
4:45 Q&A
5:00 Adjourn
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DAY THREE – SEC, Cr iminal and Civi l Enforcement/Lit igat ion
Saturday, November 10, 2007, 9 :00 a.m. – 1 :15 p.m.
Program Schedule (continued)
9:00 SEC Enforcement Trends and Priorities (30 minutes ethics)• Major cases and current priorities• Stock options• FCPA• Hedge funds• Insider trading• Waiver of privileges• Fines• The impact of the PCAOB on enforcement proceedingsRichard H. Walker (Moderator)
Stephen M. Cutler
Gary G. Lynch
William R. McLucas
Linda Chatman Thomsen
10:00 Criminal Enforcement (15 minutes ethics)• The McNulty Memo – waiver and charging issues• Deferred prosecution agreements• The effect and role of state attorneys general• Parallel proceedings• Payment of employees’ legal feesLoretta E. Lynch (Moderator)
Eric Corngold
Matthew W. Friedrich
Michael J. Garcia
Theodore V. Wells, Jr.
Mary Jo White
11:00 Break
11:15 Internal Investigations – Practical Advice (15 minutes ethics)• The first 48 hours – what to do• FCPA and other international investigations –
special issues• How to best preserve the company’s privileges• Joint defense agreements• Reports on investigations• How to work with the accountantsColleen P. Mahoney (Moderator)
Carmen J. Lawrence
Mark Schonfeld
Bruce E. Yannett
12:15 Private Civil Litigation• Update and new developments• Class actions• Causation• Aiding and abetting liabilityGregory A. Markel (Moderator)
Elizabeth J. Cabraser
Patricia Hynes
A. Robert Pietrzak
1:15 Adjourn
PLI’s Guarantee
It’s simple. If you’re not completelysatisfied with the return on yourinvestment from any PLI program,your money will be refunded in full.
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Securities Regulation10 Reasons Why You Will Absolutely Want To Attend PLI’s
1. Hear a Keynote Address by Robert Greifeld, President and ChiefExecutive Officer, The NASDAQ Stock Market, Inc., along withpresentations from an outstanding faculty of over 50 expertsdrawn from private practice, corporations, accounting firms,investment banks, the judiciary, the Securities and ExchangeCommission and Public Company Accounting Oversight Board.
2. Explore the latest developments in securities laws that affect your clients in the longest running, highest-quality Institute on the subject, anywhere.
3. Hear directly from top Securities and Exchange Commissionofficials and Department of Justice and state prosecutorsabout their current priorities and concerns.
4. Increase your value as an advisor to your clients and your firmwhen you offer guidance on how to meet today’s challenges.
5. Joseph A. Grundfest, William A. Franke Professor of Law &Business and Co-Director, Rock Center on CorporateGovernance, Stanford University School of Law, will discussthe topic of Democracy and the Corporation.
6. John W. White, Director, Division of Corporation Finance,Securities and Exchange Commission and Martin P. Dunn,Deputy Director, Division of Corporation Finance, Securitiesand Exchange Commission will discuss Corporation Financeissues at this year’s Q&A picnic luncheon.
7. Network with thousands of colleagues from the finest firms andcorporations worldwide.
8. Harvey J. Goldschmid, Dwight Professor of Law, ColumbiaUniversity School of Law and Former SEC Commissioner willlead an in-depth examination of the role of shareholder activismin corporate practice at this year’s Pre-Conference Briefing,Shareholder Activism: Finding the Balance.
9. Take advantage of the more than 1,000 pages of superiorsecurities and corporate reference materials in the coursehandbook you will receive at the Institute.
10. Your satisfaction is guaranteed. If you are not completelysatisfied with the return on your investment, your money will berefunded in full.
“I have attended all 38 Annual Institutes… and this one was as good as they get! Thanks.” J. Lawrence McIntyre, Vice President, Secretary and General Counsel of The Toro Company
“This is the only securities law conference I attend … it’s always informative and cutting-edge – thanks!”
“PLI’s course materials are the best available. The speakers are well organized, articulate, and knowledgeable. PLI program organization was excellent!”
Charles J. Hansen, Saks Incorporated, Executive Vice President & General Counsel
“Great combination of practical advice and policy discussion.”
What last year’s attendees said about the:
38th Annual Inst i tute on Securities Regulation
39th Annual Inst i tute on
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Keynote Address Speakers
Robert GreifeldPresident and Chief Executive OfficerThe NASDAQ Stock Market, Inc.New York City
Joseph A. Grundfest William A. Franke Professor of Law & Business
and Co-Director, Rock Center on CorporateGovernance
Stanford University School of LawStanford, California
Mary A. BernardGlobal General Counsel for Investment BankingCredit Suisse First BostonNew York City
John T. BostelmanSullivan & Cromwell LLPNew York CityAuthor, The Sarbanes-Oxley Deskbook (PLI)
Brian V. BrehenyChief, Office of Mergers and AcquisitionsDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
Elizabeth J. CabraserLieff Cabraser Heimann & Bernstein, LLPSan Francisco
Eric CorngoldExecutive Deputy Attorney General for
Economic JusticeOffice of the New York State Attorney GeneralNew York City
Stephen M. CutlerExecutive Vice President and General Counsel JPMorgan Chase & Co.New York City
James R. DotyBaker Botts L.L.P.Washington, D.C.
Paul M. Dudek Chief, Office of International Corporation
FinanceDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
Martin P. DunnDeputy DirectorDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
Ralph C. FerraraLeBoeuf, Lamb, Greene & MacRae LLPWashington, D.C.
Margaret M. ForanSenior Vice President - Corporate GovernanceAssociate General Counsel and Corporate
SecretaryPfizer, Inc.New York City
Joele FrankManaging PartnerJoele Frank, Wilkinson, Brimmer, KatcherNew York City
Matthew W. FriedrichCounselor to the Attorney GeneralOffice of the Attorney GeneralUnited States Department of JusticeWashington, D.C.
Michael J. GarciaUnited States AttorneySouthern District of New YorkNew York City
Barbara S. GillersFried, Frank, Harris, Shriver & Jacobson LLPNew York City
Daniel L. GoelzerBoard MemberPublic Company Accounting Oversight BoardWashington, D.C.
Stephen M. GrahamOrrick, Herrington & Sutcliffe LLPSeattle
Karl A. GroskaufmanisFried, Frank, Harris, Shriver & Jacobson LLPWashington, D.C.
Keith F. HigginsRopes & Gray LLPBoston
William H. Hinman, Jr.Simpson Thacher & Bartlett LLPPalo Alto
Patricia HynesAllen & Overy LLPNew York City
Mary Ann JorgensonSquire, Sanders & Dempsey L.L.P.Cleveland, Ohio
Martin W. Korman Wilson Sonsini Goodrich & RosatiPalo Alto
Robert J. KueppersDeputy Chief Executive OfficerDeloitte & Touche USA LLPWilton, Connecticut
Vice Chancellor Stephen P. LambDelaware Chancery CourtWilmington, Delaware
Gerald J. LaporteChief, Office of Small Business PolicyDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
Co-Chairs: Steven E. BochnerWilson Sonsini Goodrich
& RosatiPalo Alto
David B. HarmsSullivan & Cromwell LLPNew York City
Mary Jo WhiteDebevoise & Plimpton LLPNew York City
FACULTY
Carmen J. LawrenceFried, Frank, Harris, Shriver & Jacobson LLPNew York City
Geoffrey W. LevinKirkland & Ellis LLPNew York City
Simon M. LorneVice Chairman, Chief Legal OfficerMillennium Partners, L.P.New York City
Gary G. LynchChief Legal OfficerMorgan StanleyNew York City
Loretta E. LynchHogan & Hartson LLPNew York City
Colleen P. MahoneySkadden, Arps, Slate, Meagher & Flom LLPWashington, D.C.
Gregory A. MarkelCadwalader, Wickersham & Taft LLPNew York City
William R. McLucasWilmer Cutler Pickering Hale and Dorr LLPWashington, D.C.
Paul MichalskiCravath, Swaine & Moore LLPNew York City
Curtis L. MoWilmer Cutler Pickering Hale and Dorr LLPPalo Alto, California
Marc H. MorgensternSonnenschein Nath & Rosenthal LLPSan Francisco
Louise M. ParentExecutive Vice President and General CounselAmerican Express CompanyNew York City
Shelley E. ParrattDeputy DirectorDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
A. Robert PietrzakSidley Austin LLPNew York City
Honorable Jed S. RakoffU.S. District JudgeSouthern District of New YorkNew York City
Mark SchonfeldRegional Director, Northeast Regional OfficeSecurities & Exchange CommissionNew York City
Linda Chatman ThomsenDirectorDivision of EnforcementSecurities and Exchange CommissionWashington, D.C.
Richard D. Truesdell, Jr.Davis Polk & WardwellNew York City
Gregory V. VaralloDirectorRichards Layton & Finger, PAWilmington, Delaware
Patricia A. VlahakisWachtell, Lipton, Rosen & KatzNew York City
Richard H. WalkerManaging Director and General CounselDeutsche Bank AGNew York City
Theodore V. Wells, Jr.Paul, Weiss, Rifkind, Wharton & Garrison LLPNew York City
John W. WhiteDirectorDivision of Corporation FinanceSecurities and Exchange CommissionWashington, D.C.
John C. WilcoxSenior Vice President and
Head of Corporate GovernanceTIAA-CREFNew York City
Jeffrey R. WoltersMorris, Nichols, Arsht & Tunnell LLPWilmington, Delaware
Jon WoodruffManaging DirectorHead of Global High Technology M&AGoldman, Sachs & Co.New York City
Bruce E. YannettDebevoise & Plimpton LLPNew York City
Ann L. YergerExecutive DirectorCouncil of Institutional InvestorsWashington, D.C.
Program Attorneys: Anita C. Shapiro and Laura R. Shields
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Securities Institute Advisory Committee
Alan K. AustinManaging Director and Chief Operating OfficerSilver Lake PartnersMenlo Park, California
Alan L. BellerCleary Gottlieb Steen & Hamilton LLPNew York City
James H. Cheek, IIIBaker Botts L.L.P.Washington, D.C.
Ralph C. FerraraLeBoeuf, Lamb, Greene & MacRae LLPWashington, D.C.
Arthur Fleischer, Jr.Fried, Frank, Harris, Shriver & Jacobson LLPNew York City
Joseph H. FlomSkadden, Arps, Slate, Meagher & Flom LLPNew York City
Stephen J. FriedmanPresidentPace UniversityNew York City and Westchester County, New York(Former Commissioner, Securities and
Exchange Commission)
Daniel L. GoelzerBoard MemberPublic Company Accounting Oversight BoardWashington, D.C.
Edward F. GreeneGeneral CounselCiti Markets & BankingNew York City
John J. HuberLatham & Watkins LLPWashington, D.C.
Roberta S. KarmelCentennial Professor of LawBrooklyn Law SchoolNew York City(Former Commissioner, Securities and
Exchange Commission)
Richard G. KetchumChief Executive OfficerNew York Stock ExchangeNew York City
Theodore A. LevineOf CounselWachtell, Lipton, Rosen & KatzNew York City
Martin LiptonWachtell, Lipton, Rosen & KatzNew York City
Simon M. LorneVice Chairman, Chief Legal OfficerMillennium Partners, L.P.New York City
Gary G. LynchChief Legal OfficerMorgan StanleyNew York City
Robert H. MundheimShearman & Sterling LLPNew York City
Charles M. NathanLatham & Watkins LLPNew York City
John F. OlsonGibson, Dunn & Crutcher LLPWashington, D.C.
Aulana L. PetersGibson, Dunn & Crutcher LLP (Retired)Los Angeles(Former Commissioner, Securities and
Exchange Commission)
Richard M. PhillipsKirkpatrick & Lockhart Nicholson Graham, LLPSan Francisco
David S. RuderWilliam W. Gurley Memorial Professor of LawNorthwestern University School of LawChicago(Former Chairman, Securities and Exchange
Commission)
Stephen J. SchulteOf CounselSchulte Roth & Zabel LLPNew York City
Larry W. SonsiniWilson Sonsini Goodrich & RosatiPalo Alto
Hon. Stanley SporkinU.S. District Court Judge (Retired)Practicing AttorneyWashington, D.C.
Stephen R. VolkVice Chairman of Investment BankingCitiNew York City
William J. Williams, Jr.Sullivan & Cromwell LLPNew York City
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Live Webcast Available On www.pli.edu
A simultaneous live online broadcast of the New York City session of thisprogram is available for individual viewing from your computer on www.pli.edu.Get “real-time” education right from your PC! Webcast participants will receivestreaming audio/video simultaneously from the live program, can view and/orprint the Course Handbook, submit questions electronically and will also haveaccess to the on-demand archive for one year.
To register for either webcast, visit www.pli.edu and click Online CLE, then goto the Upcoming Live Webcasts area. Select either 39th Annual Institute onSecurities Regulation or Pre-Conference Briefing to the 39th AnnualInstitute on Securities Regulation - Shareholder Activism: Finding theBalance Webcast to purchase either program. You may also register for thespecial two-program rate for both programs by selecting the Pre-ConferenceBriefing & 39th Annual Institute on Securities Regulation (Combo). (Two-Program Rate). Please register before the first day of the program to allow time to test your system. If you have any questions whatsoever please call PLI’s Customer Relations Department at (800) 260-4PLI.
PLI can arrange group viewing in your firm by broadcasting live to yourconference room. Plus, receive a discount on purchases of the correspondingCourse Handbook. Contact the Groupcasts Department via email atgroupcasts@pli.edu for more details.
San Francisco Time-Delayed Video
The New York City session will be time-delayed broadcast to viewers in San Francisco, local time, at the PLI California Center each day the program isbeing held. Time-Delayed Video participants will receive all course materials,and will have the opportunity to get their questions answered by a localModerator, who will be available during the entire program.
PLI’s NationallyAcclaimed Course Handbooks
All program attendees* will receive a copyof the corresponding Course Handbook.These softcover, bound volumes wereprepared specifically for these programs and will also standalone as a permanent reference. PLI’s Course Handbooksrepresent the definitive thinking of the nation’s finest legalminds, and are often the standard reference in the field. Please note:Individual Webcast attendees will receive a downloadable version of theHandbook the day of the program, and the Course Handbook after the programdate.
*Web Subscribers to Webcasts can purchase the Handbook at a 50% discount; contact PLI Customer Service to order.
View PLI Seminars In Your Home Or Office
Bring the best of PLI’s live programs to your home or office.
Audio CDs and DVDs of this program will be available for purchase December 2007. See Registration Form for details.
MP3s, Web Segments and On-Demand Web Programs of this program will beavailable December 3, 2007 at www.pli.edu — find MP3 programs underRecorded Programs and Web Segments/On-Demand under Online CLE.
With PLI’s Web Segments there is no easier way to complete your MCLErequirement. We’ve taken PLI’s extensive library of On-Demand Web Programs,previously recorded programs available online 24/7 via streaming video and/oraudio, and conveniently broken them down into 1/2 - 3 hour programs so youget only the information you want. With over 1,000 hours of content to choosefrom, you’re sure to find a Web Segment that will meet your needs. As anadded bonus, you’ll continue to have access to your Web Segments for one fullyear and will be able to download the online Course Materials that accompanyyour Web Segment. At more than 60% off the regular price, there’s never beena faster, easier, more affordable way to meet your state MCLE requirement.
All audio CD/DVD products require prepayment and are non-refundable, with the exception of defective or unopened products.
Pro Bono Efforts
Since 1933, PLI has been the comprehensive resource for the training anddevelopment needs of legal professionals. PLI is heavily involved in pro bonoand research and development activities to ensure that all practicing attorneysand law students remain on the cutting edge. These activities includeawarding full and partial scholarships to our institutes and programs,assisting public interest organizations in their training needs, and helping lawstudents 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 Scholarships
Please check the Registration Information section of this brochure for moreinformation about PLI scholarships.
PLI is now wireless! Courtroom Connect is powering a high-speed wirelessnetwork in our Conference Centers in New York and San Francisco. Stay incontact with your firm while you’re at one of our PLI Conference Centers. Formore information, visit www.courtroomconnect.com
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 .
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F O U R E A S Y W A Y S T O R E G I S T E R
14
Join the leading Firms and Corporations Who Have Attended*
Adobe Systems IncorporatedAetna Inc.Akin Gump Strauss Hauer & Feld LLPAlleghany CorporationAllstate Insurance CompanyAlston & Bird LLPAmerican Equity Investment Life Insurance
Company AOL LLCAndrews Kurth LLPAnheuser-Busch Companies, Inc.Arnold & Porter L.L.P.Baker Botts L.L.P.Baker & Hostetler LLPBaker & McKenzie LLPBallard Spahr Andrews & Ingersoll, LLPBass, Berry & Sims PLCBingham McCutchen LLPBlake, Cassels & Graydon LLPBlank Rome LLPBond, Schoeneck & King, PLLCBrown Raysman Millstein Felder & Steiner LLPBryan Cave LLPBuchanan Ingersoll & Rooney PCButzel LongCadwalader, Wickersham & Taft LLPCahill Gordon & Reindel LLPCapital One Services, Inc.Caremark Rx, Inc.Carnival Corporation & PLCCarter Ledyard & Milburn LLPChadbourne & Parke LLPChiquita Brands International Inc.Choate Hall & Stewart LLPCIGNACitigroup Inc.Cleary Gottlieb Steen & Hamilton LLPClifford Chance LLPCMP Group, Inc.Colgate-Palmolive CompanyCorn Products International, Inc.Coudert Brothers LLPCouncil of Institutional InvestorsCravath, Swaine & Moore LLPCredit Suisse GroupCurtis, Mallet-Prevost, Colt & Mosle LLPCytec Industries, Inc.Darby & Darby, P.C.Davis Polk & WardwellDebevoise & Plimpton LLPDechert LLPDeere & Company World HeadquartersDeloitte & Touche USA LLPDelta Air Lines, Inc.Dewey Ballantine LLPDigital Courier Technologies, Inc.DominionDorsey & Whitney LLPDow Jones & Company, Inc.Drinker Biddle & Reath LLPDuane Morris LLPE. I. du Pont de Nemours and CompanyEdwards Angell Palmer & Dodge LLPEpstein Becker & Green, PCEquitable Life Assurance Society of the
United StatesErnst & Young LLPExxon Mobil CorporationFaegre & Benson LLPFarella Braun + Martel LLP
Fenwick & West LLPFirstCity Financial CorporationFoley & Lardner LLPFoley Hoag LLPFreddie MacFried, Frank, Harris, Shriver & Jacobson LLPFulbright & Jaworski L.L.P.GAF Materials CorporationGardere Wynne Sewell LLPGardner Carton & Douglas LLPGeneral Cable Technologies CorporationGeneral Electric Capital CorporationGenzyme CorporationGibbons, Del Deo, Dolan, Griffinger & Vecchione,
P.C. Gibney, Anthony & Flaherty, LLPGibson, Dunn & Crutcher LLPGoodwin Procter LLPGordon Altman Butowsky Weitzen Shalov & WeinGoulston & Storrs, P.C.Graham & James LLPGray Cary Ware & Freidenrich, LLPGrayRobinson, P.A.Graydon Head & Ritchey LLPGreenberg Traurig, LLPGrippo & Elden LLCGuidant CorporationH.J. Heinz CompanyHahn & Hessen LLPHall Dickler Kent Friedman & Wood LLPHarley-Davidson, Inc.Harter Secrest & Emery LLPHaynes and Boone, LLPHeller Ehrman LLPHelms Mulliss & Wicker, PLLCHertz CorporationHerzog, Engstrom & Koplovitz, P.C.Hogan & Hartson LLPHolland & Knight LLPHolme Roberts & Owen LLPHoughton Mifflin CompanyHoward Rice Nemerovski Canady Falk & Rabkin,
A Professional CorporationHughes Hubbard & Reed LLPHunton & Williams LLPInternational Paper CompanyJPMorgan Chase & Co.Jenkens & Gilchrist, A Professional CorporationJohns Manville Jones Apparel Group, Inc.Jones DayJones, Walker, Waechter, Poitevent, Carrère &
Denègre, L.L.P.Kaplan, Strangis and Kaplan, P.A.Kasowitz, Benson, Torres & Friedman LLPKelley Drye & Warren LLPKennedy Covington Lobdell & Hickman, L.L.P.Kilpatrick Stockton LLPKing & Spalding LLPKirkland & Ellis LLPKirkpatrick & Lockhart Preston Gates Ellis LLPKlehr, Harrison, Harvey, Branzburg & Ellers LLPKoch Industries, Inc.KPMG Kramer Levin Naftalis & Frankel LLPKronish Lieb Weiner & Hellman LLPLane Powell PCLeBoeuf, Lamb, Greene & MacRae, L.L.P.Lehman & Eilen LLPLewis, Rice & Fingersh, L.C.
Lincoln National CorporationLinklaters LLPLoeb & Loeb LLPLord, Bissell & Brook LLPLowenstein Sandler PCMayer, Brown, Rowe & Maw LLPMcBride Baker & ColesMcCarter & English, LLPMcDermott Will & EmeryMcDonalds CorporationMcGuireWoods LLPMediaOne Group Inc.Metropolitan Transportation AuthorityMilbank, Tweed, Hadley & McCloy LLPMilberg Weiss & Bershad LLPMIM CorporationMintz Levin Cohn Ferris Glovsky and Popeo P.C.Mirick, O’Connell, DeMallie & Lougee, LLPMorgan, Lewis & Bockius LLPMorgan Stanley Dean Witter & Co.Morrison & Foerster LLPMunger, Tolles & Olson LLPNACCO Industries, Inc.Neal, Gerber & Eisenberg LLPNew York Life Insurance CompanyNew York Times CompanyNixon Peabody LLPNortel Networks CorporationNutter McClennen & Fish LLPOccidental Petroleum CorporationOffice Depot, Inc.Orrick, Herrington & Sutcliffe LLPPaineWebber Group, Inc.Paul, Hastings, Janofsky & Walker LLPPaul, Weiss, Rifkind, Wharton & Garrison LLPPeabody & Arnold LLPPenn Virginia CorporationPepper Hamilton LLPPerkins Coie LLP and AffiliatesPfizer Inc.Phelps Dunbar LLPPhilip Morris USAPhillips Lytle LLPPhillips Nizer LLPPioneer Natural Resources CompanyPillsbury Winthrop Shaw Pittman LLPPiper Rudnick LLPPlatinum Entertainment, Inc.Polo Ralph Lauren CorporationPorter Wright Morris & Arthur LLPPresstek, Inc.PricewaterhouseCoopers LLPProskauer Rose LLPPrudential Financial, Inc.Pryor Cashman LLPReed Smith LLPRichards Kibbe & Orbe LLPRobinson, Bradshaw & Hinson, P.A.Robinson & Cole LLPRopes & Gray LLPRR DonnelleySalansSatterlee Stephens Burke & Burke LLPSCANA CorporationSchering-Plough CorporationSchiff Hardin LLPSchirrmeister Diaz-Arrastia Brem, L.L.P.Schulte Roth & Zabel LLPSeagate Technology LLCU.S. Securities and Exchange Commission
Security Associates International, Inc.Security Capital Group IncorporatedSeward & Kissel LLPShartsis Friese LLPShearman & Sterling LLPShefsky & Froelich Ltd.Shook, Hardy & Bacon L.L.P.Simpson Thacher & Bartlett LLPSkadden, Arps, Slate, Meagher & Flom LLP
and AffiliatesSmith Anderson Blount Dorsett Mitchell &
Jernigan LLPSmith Moore LLPSociété GénéraleSolomon Pearl Blum Heymann & Stich LLPSouthern Company Services Inc.Squire, Sanders & Dempsey L.L.P.Stites & Harbison, PLLCStoel Rives LLPStroock & Stroock & Lavan LLPSullivan & Cromwell LLPSullivan & Worcester LLPSunshine Mining & Refining CompanySUPERVALU Inc.Sutherland Asbill & Brennan LLPTenneco Inc.Texas Industries, Inc.Texas Instruments IncorporatedThacher Proffitt & Wood LLPThe Bank of New York Mellon CorporationThe Goldman Sachs Group, Inc.The Hearst CorporationThe Home Depot U.S.A., Inc.The Toro CompanyThelen Reid Brown Raysman & Steiner LLP.TheStreet.com, Inc.Thompson & Knight LLP3MTLC The Laser Center Inc.Torys LLPTrace International Holdings, Inc.Triarc Companies, Inc.Tyler Cooper & Alcorn, LLPUnion Pacific CorporationVedder, Price, Kaufman & Kammholz, P.C.Venable LLPVerrill Dana, LLPViacom Inc.Vinson & Elkins L.L.P.Vorys, Sater, Seymour and Pease LLPWachtell, Lipton, Rosen & KatzWaller Lansden Dortch & DavisThe Walt Disney CompanyWang Laboratories, Inc.Washington Group International Inc.Weil, Gotshal & Manges LLPWeyerhaeuser CompanyWhite & Case LLPWilliams & Connolly LLPWillkie Farr & Gallagher LLPWilmer Cutler Pickering Hale and Dorr LLPWilson Sonsini Goodrich & RosatiWindels Marx Lane & Mittendorf, LLPWinstead Sechrest & Minick P.C.Wolf, Block, Schorr and Solis-Cohen LLP
* Partial Listing
15
39th Annual Inst i tute on Securities RegulationOther Relevant Products From PLI
Be sure to browse through our on-site bookstore outside the conference room in the New York Hilton! Attendees can receive discounts of up to 20% on a full selection of PLI treatises, Course Handbooks, Audio CDs, and DVDs. Additional copies of the 39th Annual Institute on Securities Regulation Course Handbooks and Audio CDs/DVDsof the program can be purchased at a 50% savings. MasterCard, Visa, AmericanExpress, Diners Club and checks will be accepted. A shipping service is also available.Don’t forget to stop by and talk with our Privileged Membership representativeslocated outside the conference room in the New York Hilton to discover incrediblebenefits and savings on PLI programs and publications for you and yourfirm/corporation.
C O U R S E H A N D B O O KCourse Handbooks will be available on the first day ofeach corresponding program. 39th Annual Instituteon Securities Regulation, $199; ShareholderActivism: Finding the Balance, $179.
T R E AT I S E SThe Sarbanes-Oxley DeskbookJohn T. Bostelman (Sullivan & Cromwell LLP, New York City)“The bible for securities lawyers.” —FORTUNE MagazineUpdated several times a year to ensure you keep pace with the speed, scope, and variety of new public company regulations, The Sarbanes-Oxley Deskbookis today’s most comprehensive and current guide to complying with the far-reaching reform standards prompted by the Sarbanes-Oxley Act.
3 looseleaf volumes, 3,105 pages, $345 (Revised annually/as necessary: No charge for revision within 3 months of purchase)
Soderquist on the Securities Laws, Fifth EditionGary M. Brown (Baker, Donelson, Bearman, Caldwell & Berkowitz, PC,Nashville, TN)“[Soderquist’s] panoramic overview of the basic securities statutesprovides insights that even the most experienced practitioner will findhelpful.”— John F. Olson, Gibson, Dunn & Crutcher, Washington, D.C.;
Chairman, ABA Federal Regulation of Securities Committee
Updated and revised by an expert on SEC/SRO regulatory compliance, this new edition upholds theoriginal author’s longstanding tradition of combining rigorous coverage of new legal developmentswith comprehensive, compliance-enabling insight into the Securities Act, Exchange Act, andrelated case law and SEC actions.
1 looseleaf volume, 631 pages, $195 (Revised annually or as needed: No charge for revision issued within 3 months of purchase)
New!Securities Litigation: A Practitioner’s GuideEdited by Jonathan C. Dickey (Gibson, Dunn & Crutcher LLP, Palo Alto, CA)
Securities Litigation offers you the in-depth legal, procedural, strategic, andtactical guidance you need to get the decisive edge in securities class-actiondisputes. Securities Litigation shows how the Private Securities LitigationReform Act, Securities Litigation Uniform Standards Act, and related case lawhave altered the plaintiff-defendant class-action playing field. You’ll get the fullstory on pleadings standards, stays of discovery, lead plaintiff appointments,and loss causation under the PSLRA, and on how the SLUSA restricts plaintiffs’use of state courts in certain class actions.
1 looseleaf volume, 920 pages, $195 (Revised annually or as needed: No charge for revision issued within 3 months of purchase)
For more information on any treatise, including the Table of Contents, log on to www.pli.edu
All treatises require prepayment and can be returned within 30 days for a full refund.
For information on quantity order discounts, please contact PLI’s Customer Relations Department at (800) 260-4PLI.
Program attendees save up to 50% on Books, Audio and Video Products.
New York City Seminar Location: The New York Hilton & Towers, 1335 Avenue of the Americas, New York, NY 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations: The New York Hilton & Towers, 1335 Avenue of theAmericas, New York, NY 10019. All reservations must be made through The Global Executive 800-516-4265, outside the US 203-431-8950. www.globalexec.com/pli. Mention that you areattending the PLI program to receive the preferred room rate. The cut-off date for the preferred rate isOct. 15, 2007. [All dealings related to travel are between the registrant and The Global Executive.]
San Francisco Seminar Location: PLI California Center, 685 Market Street, San Francisco,California 94105. (415) 498-2800.
San Francisco Hotel Accommodations: The Palace Hotel, 2 New Montgomery Street, SanFrancisco, California 94105. Call (800) 917-7456 seven days a week from 6:00 am to 12:00 am (PDT)and mention you are attending this PLI program at Practising Law Institute to receive the preferredrate. For online reservations, go to www.SFPALACE.com and enter SET No. 287179 to receive thepreferred rate.
Payment Policy: Registration fees are due in advance. Attendees may pay by check, Visa,MasterCard, American Express or Diners Club.
Cancellations: All cancellations received 3 business days prior to the program will be refunded100%. If you do not cancel within the allotted time period, payment is due in full. You may substituteanother individual to attend the program at any time.
PLI’s Scholarship/Financial Hardship Policy: Full and partial scholarships to attend PLI programsare available to judges, judicial law clerks, law professors, attorneys 65 or older, law students, pro bono attorneys, librarians and paralegals who work for nonprofit organizations, legal servicesorganizations or government agencies, unemployed attorneys and others with financial hardships. To apply, send your request on your employer’s letterhead, stating the reason for your interest, alongwith the completed registration form on this brochure, to the PLI Scholarship Committee. All applications must be accompanied by a $25 non-refundable application fee (applicants may payby check or credit card), and must be submitted four weeks before the date of the program you wishto attend. Students must submit a copy of their student ID card.
PLI Group Discounts: Groups of 4-14 from the same organization, all registering at the same time,for a PLI program scheduled for presentation at the same site, are entitled to receive a groupdiscount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.
Education Course Credit: States have widely varying regulations regarding Continuing Educationcredit, therefore, please contact PLI for more information concerning approval.
New York State CLE Credit: In accordance with the requirements of the New York State ContinuingLegal Education Board, these non-transitional continuing legal education programs are NOT approvedfor the newly admitted attorney within the first two years of admission to the Bar. ShareholderActivism: Finding the Balance has been approved for experienced attorneys for a maximum of 5.0credit hours, of which 5.0 credit hours can be applied toward the professional practice requirement.The 39th Annual Institute on Securities Regulation has been approved for experienced attorneys for amaximum of 19.5 credit hours, of which 2.0 credit hours can be applied toward the ethicsrequirement, and 17.5 credit hours can be applied toward the professional practice requirement.
California MCLE Credit: PLI is a State Bar of California approved MCLE provider. ShareholderActivism: Finding the Balance has been approved for MCLE credit in the amount of 4.25 hours. The 39th Annual Institute on Securities Regulation has been approved for MCLE credit in the amountof 16.5 hours, of which 2.0 hours will apply to legal ethics. PLI will retain the required MCLE recordsfor this program.
California Paralegals: You can satisfy your new continuing legal education requirements byattending PLI’s nationally acclaimed Institutes and Programs!
Illinois CLE Credit: PLI is an accredited provider in Illinois.
Continuing Professional Education Course Credit: Recommended CPE credit: ShareholderActivism: Finding the Balance will grant 4.0 hours, in which 4.0 hours will apply to Business Law.The 39th Annual Institute on Securities Regulation will grant 15.5 hours, in which 1.5 hours willapply to Accounting, 0.5 hour will apply to Auditing, 7.5 hours will apply to Business Law, 3.5 hourswill apply to Business Management & Organization, and 2.5 hours will apply to Specialized Knowledge& Application. Course level: Intermediate. The Practising Law Institute is registered with the NationalAssociation of State Boards of Accountancy (NASBA), as a sponsor of continuing professionaleducation on the National Registry of CPE Sponsors. State boards of accountancy have final authorityon the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors maybe addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville,TN 37219-2417. Web site: www.nasba.org No prerequisites or advance preparation is required for CPEcredit. Contact sschlicht@pli.edu regarding complaints and refund policy.
SPECIAL NEEDS: If you have special needs as addressed by the Americans with Disabilities Act,please notify Customer Relations at least two weeks prior to your program.
Sponsorship/Exhibit Opportunities: Practising Law Institute, the leader in continuing legaleducation for 70 years, draws top lawyers from major law firms and corporations to over 250comprehensive programs annually. Don’t miss this chance to target decision-makers in specificareas of the legal market with sponsorship opportunities from PLI. Sponsor a breakfast, coffee breakor luncheon at a PLI program for invaluable opportunities to network with industry leaders. Or, set upan Exhibit of your product/service at a specific program with a display and/or sales representative.Our staff will help you choose which option is right for you. Please contact Karen Johnson at (212) 824-5746 or email kjohnson@pli.edu to make sure you don’t miss out!
Basic Upkeep Service: In order to keep you abreast of the latest developments in your field, thepurchase of PLI treatises includes Basic Upkeep Service, so that supplements, replacement pagesand new editions may be shipped to you immediately upon publication for a 30-day examination. Thisservice is cancelable at any time.
PLI Bookstores: Current Publications, Training Materials, Audio CD/DVD and related products areavailable for purchase at the PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor),New York, NY, and at the PLI California Center, 685 Market Street, San Francisco, CA, Monday toFriday, 10:00 a.m. - 4:00 p.m. All PLI Publications can also be purchased online at www.pli.edu
Email: info@pli.edu • Visit Us On The Web: www.pli.edu
Registrat ion/Hotel Information
N o v e m b e r 7 - 1 0 , 2 0 0 7New York City
The New York Hilton
San Francisco, Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
39th Annual Inst i tute on
Securities RegulationP r a c t i s i n g L a w I n s t i t u t e ®
Name _____________________________________________________________________________________________________
Title _______________________________________________________________________________________________________
Firm ______________________________________________________________________________________________________
Address ___________________________________________________________________________________________________( U s e S t r e e t A d d r e s s f o r U P S D e l i v e r y )
City/State/Zip ______________________________________________________________________________________________
Phone _____________________________ Fax _________________________________ Email ___________________________
PRIORITY CODE: CTG7 8A500
When Registering, Please Refer to Priority Code: CTG7
M a k e n e c e s s a r y c o r r e c t i o n s o n m a i l i n g a d d r e s s .YES, please register me for the following session(s):
39th Annual Institute on Securities Regulation� 11515 New York City Seminar,* November 8-10, 2007, The New York Hilton, $1,995� 11519 San Francisco Time-Delayed Video,* November 8-10, 2007, PLI California Center, $1,995Live Webcast,* November 8-10, 2007 (Register online prior to first day of program), $1,995� 11518 Two-Volume Course Handbook only, $199 � 11517 Audio CDs,† available December 2007, $997.50� 11516 DVDs,† available December 2007, $1,995
� Please check ifyou are a PLIPrivilegedMember.
� Please send meinformation onPLI membership.
� Please send mePLI’s catalog ofpublications.
� Please send mePLI’s catalog ofInstitutes andPrograms.
R E G I S T R A T I O N / O R D E R F O R M
PLEASE ROUTE TO:
Practising Law Institute810 Seventh AvenueNew York, N.Y. 10019
$ ___________ check enclosed (Payable to Practising Law Institute) � Bill me � PLI Privileged Member Please Charge to: � Visa � MasterCard � American Express � Diners Club
Credit Card No.: ____________________________________________________________ Exp. Date:____________ Signature Required: ___________________________ Phone No.: ______________________________
FREE Shipping andHandling on all AudioCD/DVD and treatisepurchases. PLI willabsorb shipping andhandling charges on allprepaid CourseHandbook orders in theUnited States, U.S.Possessions andCanada.
California, Illinois,Maryland, New York,Ohio, Rhode Island,Texas and Virginiaresidents please addapplicable sales tax toprice of publications andaudio CD and DVDproducts.
*Includes Course Handbook. Individual Webcast attendees will receive adownloadable version of the Handbook the day of the program, and the printedHandbook after the program date. (Web Subscribers to Webcasts can purchasethe Handbook at a 50% discount; contact PLI Customer Service to order.)
†Audio CDs and DVDs must beprepaid and are non-refundable,with the exception of defectiveor unopened products.
1All treatises requireprepayment and can bereturned within 30 daysfor a full refund.
Special Two-Program Rate! Attend Both the Pre-Conference
Briefing and the Institute and Save $500!
� 11520 Both New York City Seminars,* November 7-10, 2007, The New York Hilton, $2,390
� 11695 Both San Francisco Time-Delayed Videos,* November 7-10, 2007, PLI California Center, $2,390
Live Webcasts,* November 7-10, 2007 (Register online prior to first day of program), $2,390
� 654 The Sarbanes-Oxley Deskbook,1 3 looseleaf volumes, $345� 9946 Soderquist on the Securities Laws, 5th Ed.,1
1 looseleaf volume, $195� 12013 Securities Litigation,1 1 looseleaf volume, $195
� My Email address is: __________________________________________________________________ Please send me Email updates.
Optional Pre-Conference BriefingShareholder Activism: Finding the Balance
� 11506 New York City Seminar,* November 7, 2007, The New York Hilton, $895
� 11514 San Francisco Time-Delayed Video,* November 7, 2007, PLI California Center, $895
Live Webcast,* November 7, 2007 (Register online prior to first day of program), $895
� 11508 Course Handbook only, $179 � 11510 Audio CDs,† available December 2007, $447.50� 11509 DVDs,† available December 2007, $895
The information below is required to properly process your CLE certificate:State: _______ Bar ID# _____________ State: ________ Bar ID# ____________ State: ________ Bar ID# ___________
NON-PROFITORGANIZATIONU.S. POSTAGE
PAIDPRACTISING LAW
INSTITUTE
N o v e m b e r 7 - 1 0 , 2 0 0 7New York City
The New York Hilton
San Francisco, Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
39th Annual Inst i tute on
Securities RegulationP r a c t i s i n g L a w I n s t i t u t e ®
Name _____________________________________________________________________________________________________
Title _______________________________________________________________________________________________________
Firm ______________________________________________________________________________________________________
Address ___________________________________________________________________________________________________( U s e S t r e e t A d d r e s s f o r U P S D e l i v e r y )
City/State/Zip ______________________________________________________________________________________________
Phone _____________________________ Fax _________________________________ Email ___________________________
PRIORITY CODE: LTY7 8A500
When Registering, Please Refer to Priority Code: LTY7
M a k e n e c e s s a r y c o r r e c t i o n s o n m a i l i n g a d d r e s s .YES, please register me for the following session(s):
39th Annual Institute on Securities Regulation� 11515 New York City Seminar,* November 8-10, 2007, The New York Hilton, $1,995� 11519 San Francisco Time-Delayed Video,* November 8-10, 2007, PLI California Center, $1,995Live Webcast,* November 8-10, 2007 (Register online prior to first day of program), $1,995� 11518 Two-Volume Course Handbook only, $199 � 11517 Audio CDs,† available December 2007, $997.50� 11516 DVDs,† available December 2007, $1,995
� Please check ifyou are a PLIPrivilegedMember.
� Please send meinformation onPLI membership.
� Please send mePLI’s catalog ofpublications.
� Please send mePLI’s catalog ofInstitutes andPrograms.
R E G I S T R A T I O N / O R D E R F O R M
PLEASE ROUTE TO:
Practising Law Institute810 Seventh AvenueNew York, N.Y. 10019
$ ___________ check enclosed (Payable to Practising Law Institute) � Bill me � PLI Privileged Member Please Charge to: � Visa � MasterCard � American Express � Diners Club
Credit Card No.: ____________________________________________________________ Exp. Date:____________ Signature Required: ___________________________ Phone No.: ______________________________
FREE Shipping andHandling on all AudioCD/DVD and treatisepurchases. PLI willabsorb shipping andhandling charges on allprepaid CourseHandbook orders in theUnited States, U.S.Possessions andCanada.
California, Illinois,Maryland, New York,Ohio, Rhode Island,Texas and Virginiaresidents please addapplicable sales tax toprice of publications andaudio CD and DVDproducts.
*Includes Course Handbook. Individual Webcast attendees will receive adownloadable version of the Handbook the day of the program, and the printedHandbook after the program date. (Web Subscribers to Webcasts can purchasethe Handbook at a 50% discount; contact PLI Customer Service to order.)
†Audio CDs and DVDs must beprepaid and are non-refundable,with the exception of defectiveor unopened products.
1All treatises requireprepayment and can bereturned within 30 daysfor a full refund.
Special Two-Program Rate! Attend Both the Pre-Conference
Briefing and the Institute and Save $500!
� 11520 Both New York City Seminars,* November 7-10, 2007, The New York Hilton, $2,390
� 11695 Both San Francisco Time-Delayed Videos,* November 7-10, 2007, PLI California Center, $2,390
Live Webcasts,* November 7-10, 2007 (Register online prior to first day of program), $2,390
� 654 The Sarbanes-Oxley Deskbook,1 3 looseleaf volumes, $345� 9946 Soderquist on the Securities Laws, 5th Ed.,1
1 looseleaf volume, $195� 12013 Securities Litigation,1 1 looseleaf volume, $195
� My Email address is: __________________________________________________________________ Please send me Email updates.
Optional Pre-Conference BriefingShareholder Activism: Finding the Balance
� 11506 New York City Seminar,* November 7, 2007, The New York Hilton, $895
� 11514 San Francisco Time-Delayed Video,* November 7, 2007, PLI California Center, $895
Live Webcast,* November 7, 2007 (Register online prior to first day of program), $895
� 11508 Course Handbook only, $179 � 11510 Audio CDs,† available December 2007, $447.50� 11509 DVDs,† available December 2007, $895
The information below is required to properly process your CLE certificate:State: _______ Bar ID# _____________ State: ________ Bar ID# ____________ State: ________ Bar ID# ___________
NON-PROFITORGANIZATIONU.S. POSTAGE
PAIDPRACTISING LAW
INSTITUTE
Also available on Audio CD and DVD – see inside for details.
Register Online at www.pli.edu or Call (800) 260-4PLI
Optional Pre-Conference Briefing:
Shareholder Activism: Finding the Balance
N o v e m b e r 8 - 1 0 , 2 0 0 7
N o v e m b e r 7 , 2 0 0 7
SecuritiesRegulation
39th Annual Inst i tute on
New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
New York City
The New York Hilton
San Francisco
Time-Delayed Video
PLI California Center
Live Webcast
www.pli.edu
Steven E. BochnerWilson Sonsini Goodrich & RosatiPalo Alto
David B. HarmsSullivan & Cromwell LLPNew York City
Mary Jo WhiteDebevoise &Plimpton LLPNew York City
P r a c t i s i n g L a w I n s t i t u t e ®
Sat isfy Your CLE Requi rements!
PLATINUM SPONSOR
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