February 10, 2004

Don’t Forget about Tomorrow’s Webcast

As could be expected, we have been receiving a steady stream of questions to pose to our expert panelists for our February 11th webcast – “Cashless Exercises and Other Murky 402 Issues.” The panelists include Stephanie Adams, VP/Manager of Compliance & Restricted Stock Programs, Morgan Stanley Dean Witter; John Aguirre, Partner, Wilson Sonsini Goodrich & Rosati and Marc Trevino, Partner, Sullivan & Cromwell. Send your questions now to and listen in tomorrow!

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Audit Response Letters

A provocative discussion in the Jan/Feb 2004 issue of The Corporate Counsel (at pg 9) has prompted several reader inquiries on whether “claims or assessments” should follow “pending or threatened litigation” in the first request category. While, in fact, there hasn’t been a formal change in the ABA’s standard form of request letter, the actual practice here varies widely, especially in light of the similar language in the second request category (unasserted claims, etc.). Expect more on audit letters in the next issue of The Corporate Counsel.

SEC Announces Shareholder Access Roundtable

On March 10th, the SEC will hold an all-day roundtable at its DC headquarters regarding the proposed shareholder access rules (interestingly, the announcement says that the SEC will accept comments at the roundtable and thru the end of March!) The agenda and list of participants has not yet been posted. Should be a humdinger. First come, first serve – so show up early if you plan to attend in person.