47TH ANNUAL Securities Regulation Institute
47TH ANNUAL
Securities Regulation Institute
January 27?29, 2020 Coronado, California
Register at: law.northwestern.edu/sri
Highlights
? Keynote address by SEC Chairman Jay Clayton
? A Conversation with Leo E. Strine
? Five SEC senior staff members
? Luncheon with TED-style talk on the future of AI and the law
? Popular panels on Disclosure Challenges, Capital Markets, M&A, Accounting, and more
And
? Earn up to 18.5 CLE credit hours
? Engage with over 450 in-house counsel, firm attorneys, regulators, and other thought leaders
? See why 93% of attendees recommend the Institute to their colleagues
PANELISTS Timothy R. Baer, Managing Partner, TRB Partners LLC and Retired Executive Vice President, Chief Legal Officer and Corporate Secretary, Target, Minneapolis
Meredith B. Cross
Joele Frank, Managing Partner, Joele Frank, Wilkinson Brimmer Katcher, New York City
10:30?11:45 a.m. | Corporate Governance 2020: The Latest from Delaware and Beyond
? Addressing board diversity and refreshment
? CEO succession under the microscope
? The board's role in cybersecurity and data privacy issues
? Delaware update
SESSION CO-CHAIRS David M. Lynn, Morrison & Foerster LLP, Washington, DC
Kellye Walker, Executive Vice President, Chief Legal Officer, Huntington Ingalls Industries, Newport News, VA
PANELISTS Rani Doyle, Executive Director, EY Center for Board Matters, Washington, DC
Lawrence Hamermesh, Professor Emeritus, Widener University Delaware Law School, Wilmington, DE
Michael C. Marsh, Akerman LLP, Miami
11:45 a.m.?12:30 p.m. | Luncheon
Monday, January 27, 2020
7:45 a.m. | Registration and Continental Breakfast
8:45?9 a.m. | Welcome and Overview
Juliann Cecchi, Assistant Dean, External Partnerships, Northwestern Pritzker School of Law, Chicago Meredith B. Cross, Institute Chair, Wilmer Cutler Pickering Hale and Dorr LLP, Washington, DC
9?10:15 a.m. | Crisis Management in 2020
? Managing the board process during a crisis ? Roles of internal and external counsel ? Navigating the inevitable investor relations and
media communications challenges ? Best practices for addressing challenges faced
by boards and their advisers ? Structuring and carrying out internal
investigations: one size does not fit all SESSION CHAIR David A. Katz, Wachtell, Lipton, Rosen & Katz, New York City
12:45?1:30 p.m. | A Conversation with Leo E. Strine
Leo E. Strine Jr., Former Chief Justice, Delaware Supreme Court, Wilmington, DE
MODERATOR Eileen T. Nugent, Skadden, Arps, Slate, Meagher & Flom LLP, New York City
1:45?3 p.m. | Recurring Disclosure Challenges
? Managing officer and director departures and alleged misconduct
? Dealing with developments in investigations and litigation
? Correcting errors in disclosures
? Challenges after the earnings release and before the filing of the periodic report
SESSION CHAIR Thomas J. Kim, Institute Vice Chair, Sidley Austin LLP, Washington, DC
PANELISTS Steven E. Bochner, Wilson Sonsini Goodrich & Rosati, Palo Alto
Alexander F. Cohen, Latham & Watkins LLP, Washington, DC
Elizabeth A. Ising, Gibson, Dunn & Crutcher LLP, Washington, DC Jay H. Knight, Bass, Berry & Sims PLC, Nashville
3:15?4:15 p.m. | Capital Markets: Private Company Financing
? SEC update: concept release on harmonization of offering exemptions
? Trends in late-stage financing structures
? Equity programs, tender offers, and secondary markets
? ICO transactions and Reg A
SESSION CHAIR Allison Berry Spinner, Wilson Sonsini Goodrich & Rosati, Palo Alto
PANELISTS Dawn Belt, Fenwick & West LLP, Mountain View, CA
Jennifer A. Zepralka, Chief, Office of Small Business Policy, Division of Corporation Finance, SEC, Washington, DC
Additional panelist to be announced
4:30?5:30 p.m. | Capital Markets for Reporting Companies
? Dual-class structures and recapitalizations for IPOs
? Market stand-offs, lockups, and hedging
? Director, officer, and employee trading - 10b5-1 plans, Rule 144 issues, blackout periods, and insider lists
? Preparing for follow-on offerings and block trades, and developments in debt offerings
SESSION CHAIR Jeffrey D. Karpf, Cleary Gottlieb Steen & Hamilton LLP, New York City
PANELISTS Monifa Clayton, Senior Corporate Counsel, Pinterest, San Francisco
Lona Nallengara, Shearman & Sterling LLP, New York City
Sarah K. Solum, Davis Polk & Wardwell LLP, Menlo Park, CA
5:30?6:30 p.m. | Reception Sponsored by Winston & Strawn LLP
Tuesday, January 29, 2019
Tuesday, January 28, 2020
7:30 a.m. | Continental Breakfast
8:15?9:15 a.m. | Updates from SEC Senior Staff: Division of Corporation Finance
William H. Hinman, Director Shelley E. Parratt, Deputy Director
9:30?10:15 a.m. | Alan B. Levenson Keynote Address
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Washington, DC
10:30?11:45 a.m. | Accounting is Having a Busy Year
? Corp Fin: new acquisition disclosures, non-GAAP challenges, 3-13 waivers, realignment
? FASB: revenue, leases, CECL, goodwill impairment, segments, reference rate reform
? PCAOB: CAMs, inspection transformation, the new board at work
? Technology: robotics, cloud computing, artificial intelligence, blockchain
SESSION CHAIR John W. White, Cravath, Swaine & Moore LLP, New York City PANELISTS Mark Kronforst, Partner, Professional Practice, Ernst & Young LLP, Washington, DC Kyle L. Moffatt, Chief Accountant, Division of Corporation Finance, SEC, Washington, DC Sagar Teotia, Chief Accountant, SEC, Washington, DC Amie Thuener, Vice President, Principal Accounting Officer, Google/Alphabet Inc., Mountain View, CA
11:45 a.m.?12:15 p.m. | Luncheon
12:15?1 p.m. | The Future of AI and the Law: Is Your Next Associate Going to be a Robot?
Kristian J. Hammond, Bill and Cathy Osborn Professor of Computer Science, Northwestern University, Evanston, IL
1:15?2:30 p.m. | State of the M&A Marketplace in 2019 and What's Ahead in 2020
? The Trulia decision four years later: deal litigation in the Delaware courts
? Deal certainty in acquisitions of private companies
? Why hasn't rep and warranty insurance caught on with strategic buyers?
? Delaware appraisal update
? The Rent-A-Center saga
SESSION CHAIR Richard E. Climan, Hogan Lovells US LLP, Silicon Valley
PANELISTS Andre G. Bouchard, Chancellor, Delaware Court of Chancery, Wilmington, DE
Eva Davis, Winston & Strawn LLP, Los Angeles
Jennifer F. Fitchen, Sidley Austin LLP, Palo Alto
2:45?3:45 p.m. | Proxy Developments
? Proxy statement developments: new disclosures and trends
? Shareholder proposals: trends, guidance, and impact of the SEC's new process
? Shareholder engagement: responding to shareholder campaigns and dealing with activist investors
? The role and regulation of proxy advisers: SEC guidance and practical takeaways
SESSION CHAIR Lillian C. Brown, Wilmer Cutler Pickering Hale and Dorr LLP, Washington, DC
PANELISTS Michele M. Anderson, Associate Director for Disclosure Operations, Division of Corporation Finance, SEC, Washington, DC
Krystal Gaboury Berrini, PJT Camberview, San Francisco
Brian V. Breheny, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC
Colleen M. McIntosh, Senior Vice President, Corporate Secretary and Assistant General Counsel, CVS Health, Woonsocket, RI
3:45?4:15 p.m. | Houlihan Lokey Ice Cream Social
4:15?5:15 p.m. | ESG Hot Topics
? Preparing and managing ESG disclosures: an inside counsel perspective
? ESG ratings: why we should care about them and what we can do
? Trends in E&S shareholder proposals: private ordering in E&S disclosures
? Thinking about ESG holistically: integration into long-term strategy and board oversight
SESSION CHAIR Keith F. Higgins, Ropes & Gray LLP, Boston
PANELISTS Marija Kramer, Managing Director, ISS ESG, Rockville, MD
Jonas Kron, Senior Vice President & Director, Shareholder Advocacy, Trillium Asset Management, LLC, Portland
Linda Park, Vice President, Associate General Counsel, and Corporate Secretary, Edwards Lifesciences, Irvine, CA
Kristen Sullivan, Partner and Americas Region Sustainability Services Leader, Deloitte & Touche LLP, Stamford, CT
Wednesday, January 29, 2020
7:45 a.m. | Continental Breakfast
8:15?9:15 a.m. | Updates from SEC Senior Staff: Division of Enforcement and Office of the General Counsel
Stephanie Avakian, Co-Director, Division of Enforcement
Michael A. Conley, Solicitor, Office of the General Counsel
MODERATOR Linda Chatman Thomsen, Davis Polk & Wardwell LLP, Washington, DC
9:30?11 a.m. | Ethics: Lessons Learned from a Silicon Valley Startup
? Lawyer serving as director of client corporation
? Confidentiality and whistleblowing
? Talking to the press
SESSION CHAIR Mary K. Foster, Former Senior Lecturer, Northwestern Pritzker School of Law, Chicago
PANELISTS Keir D. Gumbs, Associate General Counsel, Corporate Transactions and Deputy Corporate Secretary, Uber Technologies Inc., San Francisco
Arian M. June, Debevoise & Plimpton LLP, Washington, DC
Scott Morgan, General Counsel and Secretary, Splunk Inc., San Francisco
11:15 a.m.?12:45 p.m. | SEC Enforcement and Related Civil Litigation
? Increased enforcement focus on accounting, financial reporting, and disclosures
? Enforcement of Regulation FD and insider trading
? Special challenges in transnational investigations
? Latest developments in federal court litigation
SESSION CO-CHAIRS George S. Canellos, Milbank LLP, New York City
Dixie L. Johnson, King & Spalding LLP, Washington, DC
PANELISTS Amelia Cottrell, Willkie Farr & Gallagher LLP, New York City
Stephen M. Cutler, Simpson Thacher & Bartlett LLP, New York City
Michael D. Mann, Richards Kibbe & Orbe LLP, Washington, DC
Joan E. McKown, Jones Day, Washington, DC
12:45?1 p.m. | Boxed Lunch Break
1?2 p.m. | Everything You Always Wanted to Know About Securities Law but Were Never Given the Chance to Ask...
SESSION CHAIR Martin P. Dunn, Morrison & Foerster LLP, Washington, DC
PANELISTS Karen J. Garnett, Proskauer Rose LLP, Washington, DC
Dennis O. Garris, Alston & Bird, Washington, DC
Scott Siamas, Vice President & Assistant General Counsel of Corporate, Securities & Global Governance, Salesforce, San Francisco
2 p.m. | Program Concludes
What 2019 attendees had to say...
"Depth of expertise from the panelists is among the
best in the industry."
"The speakers focused on real day-to-day issues rather
than theoretical concepts. Great conference!"
"As always, talented and brilliant group of
presenters."
Thank You
Lead Affiliates
Sponsors
Supporting Affiliates
Latham & Watkins LLP ? O'Melveny & Myers LLP
Program Affiliates
Cooley LLP ? Greenberg Traurig, LLP ? Mayer Brown LLP ? Polsinelli PC ? Ropes & Gray LLP ? Stradling Yocca Carlson & Rauth ?
Wachtell, Lipton, Rosen & Katz ? Winston & Strawn LLP
For information on becoming a sponsor or affiliate, contact: Peter.Skrabacz@law.northwestern.edu.
Tuition and Hotel Information
Early bird rate of $1,650 through December 6, 2019. Tuition rate of $1,800 applicable after early bird deadline.
The Institute will be held at the Hotel del Coronado. Special guest room rate of $295 is availabile through January 6, 2020. When making reservations, mention Securities Regulation Institute to receive special guest room rate.
Questions: professional-ed@law.northwestern.edu
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