Inside Track with Broc:  

2008


• Francine McKenna on Audit Industry Developments (5/13/08)
• Lynn Tyson on IROs as Bloggers (5/9/08)
• Jim McRitchie on CorpGov.net (5/5/08)
• Gary DiBianco on Morford Memo (4/14/08)
• Joe Ruck on Board Portal Developments (4/10/08)
• Mike Cahn on Being In-House (4/07/08)
• Scott Waxman on eDelaware (3/13/08)
• The Real Joe Herrick on Impersonations During Earnings Calls (3/7/08)
• Raman Grewal on Canada’s New "Material Contract" Filing Requirement (3/10/08)
• Ellen Zimiles and Joseph Spinelli on Foreign Corrupt Practices Act Developments (3/6/08)
• Pete Ladig on the Corporate Governance Implications of Fogel v. U.S. Energy Systems (3/6/08)
• Mike Haefner on CEO Evaluations (3/5/08)
• Jim Thornton on Turning Around Troubled Companies (3/3/08)
• Jeff Mahoney on Auditor Departures (2/25/08)
• Randy Gegelman on Hurdles to E-Delivery of Proxy Materials to Plan Participants (2/25/08)
• Rees Morrison on Improving Your RFP Process (2/20/08)
• Joe Herrick on Impersonations During Earnings Calls (2/18/08)
• J.W. Verret on SEC Certification of Delaware Law Issues (2/18/08)
• Neil Weinberg and Walter Pavlo on Inside Perspective of Accounting Fraud (2/14/08)
• Ken Daly on the Role of Boards in the Subprime Crisis (2/13/08)
• Bob Howell on Disclosure Practices for Annual Reports (1/24/08)
• Lisa Wood on Impact of Stonebridge (1/22/08)
• Evan Flaschen on Distressed Debt Survey (1/14/08)

  2007
  

• Kris Veaco on Year-End Governance Check (12/4/07)
• Maria Pizzoli on First Hand E-Proxy Experience (12/3/07)
• John Newell on Time & Responsibility Schedule (12/3/07)
• Craig Mordock on Updating D&O Questionnaires (11/29/07)
• Gary Lutin on Independent Shareholder Forums (11/28/07)
• Ron Garonzik on CEO Succession Planning (11/26/07)
• Allison Land on the Direct Registration System (11/13/07)
• Chris Keller on the Mercury Interactive Options Backdating Litigation Settlement (11/8/07)
• Keith Bishop on E-Proxy and California Law (11/7/07)
• Stuart Grant on Corporate Governance Lawsuits (11/5/07)
• R. Cromwell Coulson on the Pink Sheets (10/31/07)
• Cheryl Gustitus on the New RiskMetrics Group Structure (10/10/07)
• Espen Robak on How to Value Illiquid Assets (9/21/07)
• Greta Hotopp on Proper Valuation of ESOARS (9/10/07)
• Dave Taylor on Board’s Role for Internal Investigations (9/6/07)
• Rhoda Weiss on Reputation and Communications Implications of the Whole Foods Crisis (8/20/07)
• John Partigan on IPO Trends (8/13/07)
• Jeff Taylor on Using an 'Automatic Shelf Registration' for Convertible Note Offerings (7/31/07)
• Kevin O'Keefe on Becoming a Blogger (7/26/07)
• Greg Besner on Using Technology to Manage Rule 10b5-1 Plans (7/24/07)
• Peggy Foran on Board "Engagement" with Shareholders (7/16/07)
• Steven Wheeler on CEO Turnover and Succession (7/16/07)
• Mark Schreiber on Latest Developments about the European Union Whistleblower Laws (7/10/07)
• Valerie Heinonen on Shareholder Proposal Process (6/28/07)
• Margaret Rosenfeld on Outside Counsel Serving as In-House Counsel (6/19/07)
• Steve Kunkel and Bill Smith on FIN 48 Developments (6/14/07)
• Rob Rosenblum on Inadvertent Investment Companies (5/30/07)
• Stephen Ornstein on Subprime Lending Developments (5/9/07)
• Barrett Howell on Rule 10b5-1 Plan Developments (4/19/07)
• John Wilcox on Governance Guidelines (4/16/07)
• Andrew Gerber on Handling Proponents at the Shareholder Meeting (4/4/07)
• George Davis on the Global Director (3/22/07)
• Jennifer Meiselman on Assessing Fraud Risk (3/20/07)
• Rees Morrison on Rethinking Your Legal Department (3/8/07)
• Donald Cox on IT Forensic Audits (2/9/07)
• Andy Bernstein on Foreign Private Issuer Deregistration (1/22/07)
• Bruce Deal on Calculating Damages in Option Backdating Litigation (1/15/07)
• Tom Moreland on Lawyers' Role in Governance (1/8/07)

  2006
  

• Howard Silverstone on Forensic Accounting for Non-Experts (12/18/06)
• Toni Wolfman on Women in the Boardroom (12/11/06)
• LizAnn Eisen on Underwriter Compensation Developments (12/4/06)
• Andy Serwin on Latest Privacy Policies Developments (11/27/06)
• Mark Schreiber on Latest Developments about the European Union Whistleblower Laws (11/17/06)
• Mike Tankersley on Crisis Planning and Crisis Response (11/8/06)
• Maggie Bavuso on Board’s Role in Compliance (11/1/06)
• Paul Hodgson on Rising CEO Pay (10/24/06)
• Ben Stradley on Market-Valued Employee Stock Options (10/9/06)
• David van Hoogstraten on Emissions Reduction as a Corporate Governance Issue (10/3/06)
• Ben Termini on Internal Controls Testing (9/26/06)
• Cindie Jamison and Kathy Schrock on the State of Corporate Law Reform (9/20/06)
• Jeff Kaplan on Latest Challenges for Compliance Programs (8/9/06)
• Jon Lewis on Anti-Dilution Provisions and FAS 123(R) (8/1/06)
• Karen Dempsey on Issues Raised by Employee-Bloggers (7/26/06)
• John Kocoras on Packaging the Corporate Investigation for Prosecution (7/18/06)
• John Williamson on "Selective Waiver" Doctrine Developments (7/14/06)
• Erik Greupner on Future of Hedge Fund Registration (6/28/06)
• Bob Smith on Majority Vote Standards in Charters (6/27/06)
• Alice Peterson on Whistleblower Hotlines (6/19/06)
• Todd David and Jessica Corley on Protection of Audit Documents in Internal Investigations (6/12/06)
• Ralph De Martino on Section 404 and Small Business (6/5/06)
• Rich Ferlauto on Home Depot and Other Proxy Season Developments (5/31/06)
• Stephanie Weiner on Growing Importance of Computer Forensics in Litigation (5/30/06)
• John Grossbauer on Delaware’s Majority Vote Bill (5/22/06)
• Michael Becker on XBRL Alternatives (5/16/06)
• Andy Thorpe on CEO/CFO Certifications (5/9/06)
• Monica Lord on Developments for LLCs in New York (5/5/06)
• John Stigi on What Now After Dabit (4/24/06)
• Phil Johnston on Handling Whistleblowers (4/21/06)
• Glenn Pomerantz on Disaster Planning (4/3/06)
• Rich Koppes on Investors Placing Directors on Boards (3/29/06)
• Barry Abbott on Interagency Advisory Impact on Auditor Engagement Letters (3/27/06)
• Rhoda Anderson on Towards Better Online SEC Filings (3/14/06)
• Carl Hagberg on E-Proxy Proposal (3/6/06)
• Mark Schreiber and Robert Bond on the European Union Whistleblower Law Guidelines (2/22/06)
• Jo Bennett on CEO Succession Planning (2/21/06)
• Greg Radner on Board Extranets (2/15/06)
• Diane Brown on Web-Based Governance Tools (2/13/06)
• Tom White and Carrie Wofford on Applicability of SOX’s Whistleblower Law Overseas (2/8/06)
• Brad Monks on Restricted Stock Trading Network (2/6/06)
• Michael Petrecca on Private Company Trends (2/3/06)
• Jack Ciesielski on Latest Accounting Trends (2/2/06)
• The Wired GC on Blogging as an In-House Lawyer (1/30/06)
• Brad Hammond on Conducting Roadshows Online (1/24/06)
• Nell Minow on Majority Voting and Compensation Disclosures (1/22/06)
• Mark Schreiber and Raphael Dana on New CNIL Online Whistleblower Process and Related E.U. - SOX Compliance (1/10/06)
• Tom Smedinghoff on Handling Disclosures of Security Breaches (1/9/06)

  2005
  
  

• Victor Siclari on Mutual Fund Compliance Rule Developments (12/12/05)
• Rusty McGranahan on Doing ’33 Act Reform Deals (12/7/05)
• Glen Wittenberg on Preparing for the Proxy Season: Cost Savings Tips and Processing Issues (12/7/05)
• Mark Schreiber and Jeff Held on the Final French Whistleblower Law Guidelines (12/5/05)
• Bob Curley on Working in Corp Fin in the '60s (11/21/05)
• Nate McKitterick on Caselaw Developments re: D&O Insurance (11/14/05)
• Arlene Redmond and Randy Williams on Implementing Ombudsman Programs (11/7/05)
• Mark Schreiber on Update of French Whistleblower Law (10/31/05)
• Mike Hanrahan on the Legal Status of Majority Vote Governance Guidelines (10/24/05)
• John Seethoff on Implementing a Majority Vote Governance Guideline (10/17/05)
• Steve Quinlivan and Jeff Cotter on Option Expensing Disclosures (10/12/05)
• Lynn Turner on Option Expensing (10/3/05)
• Nils Okeson on Changing Relationships Between Auditors and Their Clients (9/28/05)
• Lou Hering on Recent Developments in Delaware Entity Law (9/26/05)
• Dick McCallister on Director Recruitment Developments (9/21/05)
• Jim Persing on Fraud Prevention and Management (9/19/05)
• Paul Hodgson on the Executive Compensation Revolution (9/14/05)
• Scott Ortwein and Harvey Hill on Cooperative Conversions (9/13/05)
• Stan Keller on Meaning of Federal Court Dismissing SEC’s Reg FD Lawsuit (9/12/05)
• Kay Bradley on Developing Delegations of Authority (9/7/05)
• Jay Dubow on Future of SEC’s Civil Injunction Authority (9/6/05)
• Jim Brown on Liability Issues for Directors of Insurance/Financial Companies Today (8/29/05)
• Peter Goldmann on Implementing Fraud Prevention Training (8/24/05)
• Miriam Wugmeister on Whistleblower Hotline Conflicts Overseas (8/22/05)
• Keith Bishop on Analyzing the Majority Vote Proposals (8/18/05)
• Andy Tebbe on Board Evaluations Today (8/16/05)
• Ben Wright on How to Handle Data Security Breaches (8/10/05)
• M. Ridgway Barker and Randi-Jean Hedin on the Return of the IPO Market (8/1/05)
• Tom LeKan on Protection of Your Company’s Premises (7/27/05)
• Greg Woods on Loans as Possible Securities (7/25/05)
• Gary Zeune on Fraudsters Speaking Out on Fraud (7/18/05)
• Ann Yerger on CII’s Majority Vote Policy (7/14/05)
• Tom White and Carrie Wofford on How You Should Respond to the Latest Whistleblower Developments (7/11/05)
• Brian Lane on First Reactions to ’33 Act Reform (7/6/05)
• Mark Bergman on What Non-US NYSE Listed Companies Need to Do Soon (7/5/05)
• Mark Van Clieaf on Bona Fide CEO Succession & Selection Process (6/20/05)
• Advisory Board on Use of In-House Opinions in Financings (6/13/05)
• David Miller and Amy Seidel on Evaluating Internal Controls on a Quarterly Basis (6/8/05)
• John Savarese on Impact of the Arthur Andersen Decision (6/6/05)
• Mary Beth Kissane on Impact of Flowserve on Investor Relations’ Officers (6/3/05)
• Keith Bishop on Delaware Court Decision re: Reach of California Law (6/1/05)
• Mike Melbinger on the Board's Decisions for Stock Expensing (5/16/05)
• Corey Rosen on the Need for Broad Employee Equity Ownership (5/9/05)
• Marc Weingarten on Advance Notification Bylaws (5/2/05)
• Lou Rorimer and Lisa Kunkle on What's Next after the Annual Meeting (4/27/05)
• Broc Romanek on Understanding Overvoting (4/25/05)
• Chris Ohly on Risks of Sharing Pleadings with the Media (4/17/05)
• Lou Hering on Recent Developments in Delaware Entity Law (4/11/05)
• Charles Rothfeld on Future of Securities Class Actions (4/1/05)
• Denise Annunciata on State Law Research (3/27/05)
• Jim Ball and Ellie Kwack on CT Requests for Material Contracts (3/21/05)
• Michael Ohata on Filing with XBRL (3/14/05)
• Valerie Ford Jacob on Securities Act Reform (3/8/05)
• Bruce Freed and John Richardson on the Disclosure of Corporate Political Contributions (3/1/05)
• Tom Hanley on SEC Enforcement's Interest in Form 12b-25 Filings (2/25/05)
• Clark Fitzgerald and David Howard on Surprises Caused by Audit Confirmation Letters (2/15/05)
• Linda Griggs on Location/Content/Format of 404 Reports (2/10/05)
• Gavin Anderson on How to Use Governance Ratings (2/7/05)
• Ethan Lenz on Coverage for In-House Counsel Under D&O Insurance Policies and Indemnification Provisions (1/31/05)
• Paul Hodgson on Director Compensation Database (1/24/05)
• John Jenkins on Latest Developments for Underwriters' Due Diligence Defense (1/17/05)
• Andy Edison on the WorldCom Litigation Settlement (1/11/05)
• Gene Landoe on Web-Based Governance Tools (1/06/05)
• Tom Barnett on the Perils and Promises of Electronic Data Discovery (1/3/05)
  
  2004
  
  
• Pat McGurn on Changes for ISS’s 2005 Voting Guidelines (12/15/04)
• Larry Byrne on Early and Full Cooperation Often Best When Dealing with SEC (12/6/04)
• Lois Herzeca on Critical Issues for Controlled Companies (11/29/04)
• Jason Slater on Changes to California's Corporate Disclosure Act (11/22/04)
• Paul Hodgson on Role of Compensation on Governance Ratings (11/15/04)
• Colleen Hennessy, Allan Resnick, Steve Shapiro, and Bob Walner On Tips for Meeting the New 8-K Deadlines (11/9/04)
• Dean Hanley on Responding to Audit Inquiry Letters (11/4/04)
• Jim Melican on a New Kind of Proxy Advisory and Voting Service (11/1/04)
• Bob Hayward, John Jennings and Mike Mano on Form 10-Q Changes for Third Quarter 2004 (10/25/04)
• Janice O'Neill on the NYSE's New Interactive Tool (10/11/04)
• Alan Yudkowsky and Peter Jazayeri on Frank Quattrone, Arthur Andersen, and the Importance of Maintaining a Company-Wide Document Retention Policy (10/7/04)
• Josh Lurie on Whether CEO Is Really Changing (9/30/04)
• Keith Bishop on Taking Care of Business Using Electronic Communications in California (9/23/04)
• John Corrigan on Impact of Sarbanes-Oxley on Non-Profits (9/15/04)
• David Brown and Oni Holley on the SEC's First Enforcement Action Involving Disclosure Controls (9/2/04)
• Lou Hering on Delaware Developments Regarding Alternative Entities (8/27/04)
• Ken Adams on Contract Drafting and Knowledge Management (8/17/04)
• Wilson Chu and Larry Glasgow on Negotiated M&A Deal Point Trends (8/12/04)
• Burt Arrington on Confidential Treatment Requests for Responses to SEC Comment Letters (7/15/04)
• Joe Bartlett on Getting Creative with Executive Compensation (6/23/04)
• Michael Peregrine and Russell Hayman on Guide to Avoiding "Obstruction of Justice" Liability (6/21/04)
• Jack Moore on Governance in a Family Business (6/14/04)
• Maria Gabriela Bianchini on Google's Dutch Auction (6/7/04)
• Bill Baker on the SEC Staff "Wildcatting" for Fraud (6/3/04)
• Chris Ford and Scott Stevenson on Impact of Internal Controls on Outsourcing (6/1/04)
• David Thornquist on Electronic Due Diligence in M&A (5/24/04)
• Ken Winer on SEC’s Lucent Enforcement Action and Third-Party Liability (5/19/04)
• David Kaufman on the SEC's Shell Company Proposal (5/10/04)
• John Wilcox on Weaknesses in the Proxy Process (5/4/04)
• Richard Bronstein, Andrew Foley, Ted Maynard and David Sicular on Rise of Income Deposit Securities (4/27/04)
• Christie Hill on Updating Governance Practices (4/23/04)
• Jonathan Wolfman on Important Changes for Your Next 10-Q (4/16/04)
• Brian Heil and Mark Frigon on Facilitating Individual Investor Communications (4/12/04)
• Ken Kopelman and Abbe Dienstag on Nominating Committee Functions and Shareholder Recommendations Regarding Director Nominees (3/29/04)
• M. Ridgway Barker and Randi-Jean G. Hedin on Guidelines for Delisting (3/22/04)
• Howard Silverstone and Mike Sheetz on the Impact of Forensic Accounting on Fraud Investigations (Part II) (3/15/04)
• Bruce Carton on 2003 Securities Settlements and Opting Out of Class Actions (3/4/04)
• Howard Silverstone and Mike Sheetz on the Impact of Forensic Accounting on Fraud Investigations (Part I) (3/1/04)
• Joel Johnson on Fairness Opinions (2/23/04)
• Richard Parr on Communicating With Your Directors (2/16/04)
• Greg Taxin on Glass Lewis and Proxy Advice (2/9/04)
• Rhonda Brauer on Updating Governance Practices (2/3/04)
• Suzanne Rothwell on NASD's New Approach to Underwriting Arrangements (2/2/04)
• Bruce Brumberg on What Compliance Lessons You Can Learn From the Martha Stewart Case (1/26/04)
• Richard Flowers, Jeff Ellis and Brad Kulman on the Impact of SFAS 150 (1/22/04)
• Jim Brashear on Holding Executive Sessions and Drafting Charters (1/20/04)
• Alan Kailer on Preparing Executive Compensation Tables (1/13/04)
• Pat McGurn on Changes in ISS's 2004 Voting Guidelines (1/12/04)
• Bert Denton on Improving Shareholder Returns With Better Governance (1/5/04)
  
  2003
  
  
• Ned Young on Shareholder Access and Possible Changes in Control (12/16/03)
• Kenneth Winer on SEC Enforcement and You (12/15/03)
• Darryl Rains on 10b5-1 Plan Advantages (12/12/03)
• Thad Malik and Bill Tolbert on SEC Comment Letters in the Public Domain (12/8/03)
• David Martin and David Engvall on the New NYSE Governance Listing Standards (11/28/03)
• Joseph Monteleone on D&O Insurance Developments (11/24/03)
• Brette Simon on Sharing Privileged Information with Buyers Without Waiving the Attorney-Client Privilege (11/14/03)
• Marc Zenner on Investment Banking and Corporate Governance (11/13/03)
• Rich Koppes on Directors Meeting with Shareholders (11/3/03)
• Merlin Underwood on United Kingdom's Governance Practices (10/29/03)
• Greg Rogers on Environmental Liabilities Risks and Disclosure (10/20/03)
• Howard Sherman on the Relationship Between Governance Ratings and Financial Performance (10/13/03)
• Jim Ukropina on Serving as a Director (10/6/03)
• Walter Van Dorn on Internal Controls for Non-US Companies (10/3/03)
• Dave Matheson on the SEC's Schering-Plough FD Enforcement Action (9/29/03)
• Michele Lange on Potential E-Pitfalls (9/24/03)
• John Huber on Rules of the Road for Restatements (9/22/03)
• Andrea Robinson on Parallel Criminal and SEC Prosecution Risks (9/15/03)
• Nell Minow on Status of Governance Reform (9/12/03)
• Betsy Atkins on Life as a Professional Director (9/8/03)
• David Hardison on the SEC’s Independence FAQs (9/2/03)
• Seth Aronson on Recent Developments under the Securities Litigation Uniform Standards Act (8/25/03)
• David Kaufman on the Recent ABA Annual Meeting (8/19/03)
• Catherine Meeker, W. Scott Ortwein and Dennis Garris on the SEC’s Director Nomination Proposal (8/18/03)
• Kirk Maldonado on the Basics of Form 11-K (8/17/03)
• Chris Herzeca on the Process of Board Evaluation (8/11/03)
• Chip Presten on Attorney Conduct Rules (8/6/03)
• David Hynes on Generic Stock Certificates (8/4/03)
• LaDawn Naegle and R. Randall Wang on CEO/CFO Certifications for this Quarter (7/29/03)
• Caroline Gottschalk on Impact of SOX on Voluntary Filers (7/25/03)
• Bob Schifellite on Proxy Season Results (7/24/03)
• Tom Hanley on Impact of Nasdaq's Proposed Shareholder Approval Rules on PIPEs (7/14/03)
• Geoffrey Morgan on State Laws that “Wanna Be” Sarbanes-Oxley (7/9/03)
• Kris Sharpe on Qualified Legal Compliance Committees (7/1/03)
• Marc Trevino on the Disney Opinion and Personal Liability for Directors (6/23/03)
• Ken Winer on Improper Influence of Auditors (6/16/03)
• Marie Oh Huber on Preparing for Internal Control Attestations (6/12/03)
• Jim McRitchie and Les Greenberg on Shareholder Access for Retail Investors (6/10/03)
• Mike Hermsen and Phil Niehoff on the Effect of Recent Rules on Non-US Auditors and Companies (6/5/03)
• Jim DiBernardo on Option Buyout Programs (6/2/03)
• Patrick Devine on Audit Committees and Whistleblowing (5/29/03)
• Kerry Moynihan on Changing Director Recruitment Strategies (5/19/03)
• Sharon Hendricks on Whistleblower Procedures for Audit Committees (5/7/03)
• James Darazsdi on Modifying Corporate Governance Practices (5/2/03)
• John Jenkins on Impact of SOX on Small-Cap Companies (4/28/03)
• Andrew Humphrey on the Effect of Sarbanes-Oxley on Private Companies (4/21/03)
• Carl Hagberg on Early Results of Annual Meetings (4/15/03)
• John Grossbauer on Impact of Omnicare on Deal Protection (4/14/03)
• Michael Halloran and Elisa Lowy on Separation of Chair and CEO Positions (4/8/03)
• Kenneth R. Blackman and Michael Levitt on Earnings Announcements and Releases (4/1/03)
• Kenneth Winer on SEC Enforcement and Third Party Liability (3/25/03)
• David Lynn on SEC’s Interim Guidance and Proposed Certification Rules (3/24/03)
• Bob Juceam on D&O Insurance (3/19/03)
• Mark Bergman on Impact of New SEC Rules on Non-US Companies (3/18/03)
• Pat McGurn on Recommended Shareholder Voting (3/10/03)
• Erin Sweeney on Equity Plan Disclosure (3/6/03)
• Jeff Schulte on Attorney Conduct Standards (3/5/03)
• Amy Goodman on Pre-Approval Policies for Non-Audit Services 2/25/03)
• Bruce Mendelsohn on MD&A (2/21/03)
• David Lynn on Certifications (2/14/03)
• Louis Rorimer on Proxy Season Disclosure (2/4/03)