Publications

Searched Practice: Securities & Capital Markets

"Dodd-Frank Anti-Retaliation Provisions: Fifth Circuit Narrows Scope, Rejects SEC and District Court Interpretations," Covington Advisory (7/29/2013)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author, Christopher Yeung Co-Author

"D.C. District Court Upholds SEC's Conflict Minerals Rule," Covington Advisory (7/24/2013)
David Engvall Author

"Did The Dell Majority-Of-The-Minority Clause Go Too Far?," Law360 (7/22/2013)
Leonard Chazen Author

"Significant Changes to Rules for Private Securities Offerings," Covington Advisory (7/17/2013)
Warren Caywood Co-Author, David Engvall Co-Author, David Martin Co-Author

"Confidentially Marketed Public Offerings: Let’s Get Technical," BNA's Securities Regulation & Law Report (7/15/2013)
Todd Hamblet Co-Author, Nora Gibson Co-Author

"D.C. District Court Vacates SEC's Resource Extraction Payment Rule," Covington Advisory (7/3/2013)
Tammy Albarrán Co-Author, Bruce Bennett Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Ciarra Chavarria Co-Author

"Event-Driven Investors Don't Always Vote 'Yes'," Law360 (5/31/2013)
Leonard Chazen Author

"SEC Staff Issues Conflict Minerals FAQs," Covington E-Alert (5/31/2013)
David Engvall Co-Author, Matthew Franker Co-Author

"STOCK Act Opens Up New Front for Insider Trading Cases," Covington E-Alert (5/16/2013)
Robert Kelner Co-Author, David Martin Co-Author, Kerry Burke Co-Author, Keir Gumbs Co-Author, David Kornblau Co-Author, Brian Smith Co-Author, Zachary Parks Co-Author

"SEC Endorses Social Media as Public Disclosure Channel," Covington E-Alert (4/3/2013)
David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Matthew Franker Co-Author

"Rule 10b5-1 Trading Plans: Avoiding the Heat," Bloomberg BNA Securities Regulation & Law Report (3/11/2013)
David Martin Co-Author, Keir Gumbs Co-Author, David Kornblau Co-Author, Matthew Franker Co-Author, Stephanie Bignon Co-Author

"Greenlight Capital v. Apple and Its Potential Impact on the 2013 Proxy Season," Covington E-Alert (3/4/2013)
David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author

"FINRA Guidance on Prospectus Disclosure of Underwriting Compensation," Covington E-Alert (2/13/2013)
Marianne McKeon Author

"Something to Watch This Proxy Season: Next Generation Executive Compensation Lawsuits," Covington E-Alert (2/12/2013)
Tammy Albarrán Co-Author, David Bayless Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Andrew Ruffino Co-Author

"Required Communications between Auditors and Audit Committees," Insights (February 2013)
David Martin Co-Author, Erik Durbin Co-Author

"Required Communications Between Auditors and Audit Committees," Covington Advisory (1/29/2013)
David Martin Co-Author, Erik Durbin Co-Author

"SEC Approves NYSE and NASDAQ Independence Standards for Compensation Committees," Covington Advisory (1/18/2013)
David Engvall Co-Author

"Conflict Mineral Rules: Frequently Asked Questions," Covington Advisory (1/3/2013)
Bruce Bennett Co-Author, Bruce Deming Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Kristian Wiggert Co-Author

"Crisis Management From The Board's Perspective," Law360 (11/5/2012)
Keir Gumbs Co-Author, Xiaowen Qian Co-Author

"Risk Management From The Board's Perspective," Law 360 (10/25/2012)
Keir Gumbs Co-Author, Xiaowen Qian Co-Author

"Where Risk Management Meets Director Responsibility," Law360 (10/18/2012)
Keir Gumbs Co-Author, Xiaowen Qian Co-Author

"SEC Proposes to Permit Public Communications in Private Placement Rules," Covington Advisory (9/10/2012)
David Martin Co-Author

"SEC Adopts Resource Extraction Payment Rules," Covington Advisory (8/29/2012)
David Martin Co-Author, Keir Gumbs Co-Author

"SEC Adopts Conflict Minerals Rules," Covington E-Alert (8/24/2012)
David Engvall Co-Author, David Dunn Co-Author, David Martin Co-Author

"The IPO Climate: In the Wake of Facebook, Are IPOs Really Broken?," Wall Street Lawyer (8/1/2012)
David Martin Co-Author, Frederick Knecht Co-Author

"SEC Steps Up Enforcement Effort in the Municipal Bond Market," Covington E-Alert (8/1/2012)
Tammy Albarrán Co-Author, David Bayless Co-Author

"The Bribery Act and U.S. Foreign Corrupt Practices Act: Traps for the Unwary in Corporate Transactions," Bloomberg BNA Securities Regulation & Law Report (7/30/2012)
John Rupp Co-Author, Ian Redfearn Co-Author, Mark Herman Co-Author

"CFTC and SEC Jointly Adopt Swap Product Definition Rules and CFTC Adopts a Final Rule Implementing End-User Exception From Mandatory Clearing," Covington E-Alert (7/27/2012)
Bruce Bennett Co-Author

"Dodd-Frank Update: SEC Adopts Rules on Compensation Committee Independence and Compensation Advisers," Covington Advisory (6/25/2012)
David Martin Co-Author, Keir Gumbs Co-Author, Matthew Gehl Co-Author, David Engvall Co-Author

"The U.S. Volcker Rule and its Restrictions on Fund Activities: A Primer for Non-U.S.Financial Institutions and the Fund Managers that Market to Them," World Securities Law Report (May 2012)
Keith Noreika Co-Author, Carey Roberts Co-Author

"Federal Reserve Clarifies Volcker Rule Conformance Period Regulation," Covington Advisory (4/20/2012)
John Dugan Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Jennifer Xi Co-Author, Carey Roberts Co-Author

"The JOBS Act: New Rules for Emerging Growth Companies, Private Placements and "Crowdfunding"," Covington Advisory (4/2/2012)
Bruce Bennett Co-Author, Warren Caywood Co-Author, Keir Gumbs Co-Author, Frederick Knecht Co-Author, David Martin Co-Author, Kristian Wiggert Co-Author

"Board Oversight of Risk Management and Crisis Preparedness," Insights (March 2012)
Keir Gumbs Co-Author, Xiaowen Qian Co-Author

"SEC Staff Issues Disclosure Guidance Regarding European Debt Exposures," Covington E-Alert (1/9/2012)
Bruce Bennett Co-Author

"Rating Agency Regulation After The Dodd-Frank Act: A Mid-Course Review," Insights (December 2011)
David Martin Co-Author, Matthew Franker Co-Author

"District Courts Split on SEC End-Run Around Supreme Court Janus Decision," Covington E-Alert (9/27/2011)
Tammy Albarrán Co-Author, David Bayless Co-Author, David Kornblau Co-Author

"SEC Asking More Questions About Hydraulic Fracturing," Covington E-Alert (9/7/2011)
David Engvall Co-Author

"Implications of the Proxy Access Case," The Harvard Law School Forum on Corporate Governance and Financial Regulation (8/23/2011)
David Martin Co-Author, Keir Gumbs Co-Author

"Matrixx Litigation: Supreme Court Throws Out ‘Statistical Significance’ Standard for Pleading Securities Fraud," Corporate Accountability Report (4/1/2011)
David Martin Co-Author, Mark Gimbel Co-Author

"Volcker Rule Study by the Financial Stability Oversight Council," Covington E-Alert (1/31/2011)
Carey Roberts Author

"SEC Proposes Controversial Whistleblower Rules," The Corporate Governance Advisor (January/February 2011)
Steven Fagell Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author

"SEC Adopts Say-on-Pay Rules," Covington Advisory (1/26/2011)
David Engvall Co-Author

"Preparing for Dodd-Frank: Changes to Governance Instruments and Disclosures," first published in Westlaw Business Currents (December 2010)
Keir Gumbs Co-Author, Matthew Franker Co-Author

"SEC Proposes Say-on-Pay Rules," Covington Advisory (10/20/2010)
David Engvall Co-Author, Keir Gumbs Co-Author

"SEC Rule-Making Implementing New Disclosure and Due Diligence Reporting Requirements for Companies Manufacturing Products Using Conflict Minerals from the Democratic Republic of the Congo," Covington E-Alert (10/15/2010)
Peter Lichtenbaum Co-Author, David Martin Co-Author

"CFTC Issues Interim Final Rule on Reporting Requirements," Covington Advisory (10/7/2010)

"SEC Adopts "Shareholder Access" Rules," Covington Advisory (8/25/2010)
David Engvall Co-Author, David Martin Co-Author

"Dodd-Frank Act: New Disclosure Rules Relating to Extractive Industries," Covington Advisory (7/22/2010)
David Martin Co-Author, David Engvall Co-Author

"Dodd-Frank Act: Final Volcker Rule Provisions," Covington Advisory (7/21/2010)
Carey Roberts Co-Author, Keith Noreika Co-Author, Stuart Stock Co-Author

"Dodd-Frank Act: Executive Compensation and Corporate Governance," Covington Advisory (7/21/2010)
David Engvall Co-Author, David Martin Co-Author

"Dodd-Frank Act: New Rules for Derivatives," Covington Advisory (7/21/2010)
Philipp Tamussino Co-Author

"Dodd-Frank Act: Enhanced Protection of Investors and Other Changes to Securities Regulations," Covington Advisory (7/21/2010)
David Engvall Co-Author, David Martin Co-Author

"SEC Unanimously Adopts Pay-to-Play Rule," Covington E-Alert (7/2/2010)

"Senate Conferees Propose to Effectively Overrule Gustafson V. Alloyd," Covington E-Alert (6/24/2010)
Bruce Bennett Co-Author, David Engvall Co-Author, Frederick Knecht Co-Author, David Martin Co-Author

"Financial Regulatory Reform Legislation - Investor Protection Enhancements," Covington E-Alert (5/27/2010)
David Martin Co-Author

"Financial Regulatory Reform Legislation - Executive Compensation and Corporate Governance," Covington E-Alert (5/24/2010)
David Engvall Co-Author, David Martin Co-Author

"Financial Regulatory Reform Legislation - Senate OTC Derivatives Bill," Covington E-Alert (5/21/2010)

"A Renewed Focus on Regulation S-P: The Protection of Consumers' Nonpublic Personal Information," Investment Advisor Association Newsletter (May 2010)
Kerry Burke Co-Author

"Financial Services Regulatory Reform Legislation," Covington Advisory (3/16/2010)
David Martin Co-Author, David Engvall Co-Author

"SEC Ushers in New Season for Climate Change Disclosure," Covington Advisory (1/28/2010)
David Martin Co-Author

"Important Changes for the 2010 Proxy Season and Beyond (Updated)," Covington Advisory (1/5/2010)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author

"SEC Changes Approach to Shareholder Proposals on Risk Assessment and CEO Succession," Covington Advisory (11/9/2009)
David Martin Co-Author, Keir Gumbs Co-Author

"Update on Private Fund Adviser Registration," Covington E-Alert (10/29/2009)
David Engvall Co-Author, David Martin Co-Author, Carolyn Taylor Co-Author

"Obama Administration Proposes OTC Derivatives Legislation," Covington Advisory (8/12/2009)
Philipp Tamussino Co-Author, David Engvall Co-Author

"SEC Publishes Rule Proposal to Curb Investment Adviser “Pay-To-Play” Abuses," Covington E-Alert (8/5/2009)
Robert Kelner Co-Author, David Martin Co-Author

"Say-on-Pay and Compensation Committee Legislation-And More," Covington E-Alert (7/20/2009)
David Martin Co-Author, David Engvall Co-Author, Stuart Stock Co-Author, Matthew Franker Co-Author

"Anticipating a New Federal “Pay-To-Play” Rule For Investment Advisers," Covington E-Alert (7/6/2009)
Robert Kelner Co-Author, David Martin Co-Author

"SEC Nixes Broker Voting In Director Elections," Covington Advisory (7/1/2009)
David Martin Co-Author, David Engvall Co-Author

"Obama Administration Outlines Proposal for Comprehensive Financial Regulatory Reform," Covington E-Alert (6/17/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Obama Administration Outlines Executive Compensation Reform Plans," Covington E-Alert (6/10/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"SEC Proposes Adoption of "Shareholder Access" Rule," Covington Advisory (5/21/2009)
David Engvall Co-Author, David Martin Co-Author, Keir Gumbs Co-Author

"Treasury Outlines Framework for Financial Regulatory Reform," Covington E-Alert (3/27/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author, Mark Plotkin Co-Author

"Information You Can Use − SEC Requires Financial Information in XBRL Format," Covington Advisory (2/3/2009)
David Martin Co-Author, David Engvall Co-Author

"Stockholder Proposals in the 2009 Proxy Season: What to Expect and How to Prepare," Covington E-Alert (12/17/2008)
David Martin Co-Author, Keir Gumbs Co-Author

"The Economic Downturn’s Effect on Executive Compensation Practices and Disclosure," Covington E-Alert (11/21/2008)
David Engvall Co-Author

"The 2008 Shareholder Proxy Season In Review," The Review of Securities & Commodities Regulations (10/1/2008)
Keir Gumbs Co-Author

"Company Web Sites and the Securities Laws," Covington Advisory (8/22/2008)
David Martin Co-Author, David Engvall Co-Author, Ingrid Rechtin Co-Author

"Disclosure Implications of Fair Value Accounting and the Subprime Mortgage Crisis," 40th Annual Institute on Securities Regulation (August 2008)
David Martin

"Company Websites and the Securities Laws," 40th Annual Institute on Securities Regulation (August 2008)
David Martin

"Disclosure Implications of Fair Value Accounting and the Subprime Mortgage Crisis," Covington Advisory (7/30/2008)
David Martin Co-Author

"Reflections on Indenture Remedies and Investor Protection," Insights (February 2008)
Bruce Bennett Author

"Resales of Securities—An Expanded Safe Harbor: Revisions to Rules 144 and 145," Covington Advisory (1/9/2008)
David Martin Co-Author, Jack Bodner Co-Author, Peter Laveran-Stiebar Co-Author

"SEC Focusing Enforcement Resources on Hedge Funds," Covington E-Alert (10/30/2007)
Tammy Albarrán Co-Author, David Bayless Co-Author

"Electronic Proxy Delivery: SEC Adopts Amendments to “Notice and Access” Rules," Covington Advisory (8/15/2007)
Keir Gumbs Co-Author

"California Eases Restrictions on Stock Plans For Privately-Held Companies," Covington Advisory (8/6/2007)
Ellen Corenswet Co-Author, Bruce Deming Co-Author

"Retooling the Internal Control Process - A Welcome Relief," Insights (August 2007)
David Martin Co-Author, David Engvall Co-Author

"Considering Director Independence," Covington Advisory (7/12/2007)
David Martin Co-Author, Michael Riella Co-Author

"Retooling the Internal Control Process -- A Welcome Relief," Covington Advisory (7/2/2007)
David Engvall Co-Author, David Martin Co-Author

"Recent SEC Enforcement Actions Against In-House Lawyers: An Ominous Trend for the Legal Profession," Securities Litigation & Regulation Reporter (July 2007)
David Bayless Co-Author, Tammy Albarrán Co-Author

"Tellabs, Inc. v. Makor Issues & Rights, Ltd.: A Uniform Test for Pleading Scienter in Securities Fraud Cases," Covington Advisory (6/29/2007)
David Bayless Co-Author, David Martin Co-Author, C. William Phillips Co-Author

"IRS Changes Scope of "Covered Employees" Under Section 162(m)," (6/8/2007)
David Engvall Co-Author, Robert Newman Co-Author

"Delaware Supreme Court Limits Creditor Claims Against Corporate Directors," Covington E-Alert (5/31/2007)
Dianne Coffino Co-Author, Benjamin Hoch Co-Author

"A Reasoned Approach to Sanctions Under the Securities Act of 1933," Washington Legal Foundation (April 2007)
Tammy Albarrán Co-Author

"New SEC Rules for Foreign Company Deregistration," Covington Advisory (4/6/2007)
David Martin Co-Author, Jack Bodner Co-Author

"Tellabs, Inc. v. Makor Issues & Rights, Ltd.: What Does It Take to Allege a “Strong Inference” of Scienter?," Covington E-Alert (3/26/2007)
C. William Phillips Co-Author

"Electronic Proxy Delivery: SEC Adopts "Notice and Access" Rules," Covington Advisory (3/19/2007)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author

""Access" By Default: SEC's "No View" on Shareholder Access Proposal Opens the Door," Corporate Governance Advisor (March/April 2007)
Keir Gumbs Co-Author

"SEC Staff Response to Hewlett-Packard Opens the Door For Shareholder Access Proposals," Corporate Counsel Weekly (02/07/2007)
Keir Gumbs Co-Author

"Going Dark From a Deal: Exiting the Reporting System After Completion of a Merger," Insights (February 2007)
W. Andrew Jack Co-Author, Keir Gumbs Co-Author

"SEC Amends Disclosure Rules for Stock-Based Compensation," Covington Advisory (12/28/2006)
David Martin Co-Author, David Engvall Co-Author

"New Securities Law Disclosures and Listing Standards for 2007," Covington Advisory (12/19/2006)
David Martin Co-Author, David Engvall Co-Author, Carey Roberts Co-Author

"Shareholder Proposals," 28th Annual Institute on Proxy Statements, Annual Meetings and Critical Corporate Disclosures (December 2006)
Keir Gumbs

"New Executive Compensation Disclosure Rules," Covington Advisory (8/23/2006)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author, Michael Riella Co-Author

"SEC Adopts Sweeping Changes to Executive Compensation Disclosure Rules," Covington Advisory (7/27/2006)
David Engvall Co-Author, David Martin Co-Author

"AIM - Electronic Settlement for US Shares," PLC Magazine (July 2006)
Dana Ackerly Co-Author, Simon Amies Co-Author

"Upcoming Changes to NASDAQ®," Covington Advisory (6/27/2006)
David Engvall Author

"The Attraction of London's AIM Market," Focus Europe AIM Supplement, Corporate Counsel (June 2006)
Dana Ackerly Co-Author, Simon Amies Co-Author

"The Next Big Scandal? Stock Option Practices Under Scrutiny," Covington Advisory (5/26/2006)
Nancy Kestenbaum Co-Author, W. Andrew Jack Co-Author, Bruce Baird Co-Author

"BSA/AML Regulatory Alert," Covington E-Alert (5/8/2006)
Mark Plotkin Co-Author

"The SEC's Internet Proxy Delivery Rulemaking," Mid-Atlantic Chapter of the Society of Corporate Governance Professionals, Philadelphia, PA (May 2006)
Keir Gumbs

"SEC ou 144A - Vantagens e desvantagens de registrar uma oferta pública nos Estados Unidos," Capital Aberto (April 2006)
Rubén Kraiem Co-Author

"Term Sheets and Other Communications after Securities Offering Reform," Insights (March 2006)
Bruce Bennett Co-Author

"SEC Rejects Company's Argument That Majority Voting Policy Substantially Implements Majority Vote Shareholder Proposal," BNA Corporate Counsel Weekly (1/18/2006)
David Martin Co-Author, Keir Gumbs Co-Author

"The Majority Vote Movement: How to Handle Majority Vote Shareholder Proposals," Corporate Governance Advisor (January/February 2006)
Keir Gumbs

"Exchange Act Reporting Update," Covington Advisory (1/9/2006)
David Martin Co-Author, Keir Gumbs Co-Author, Michael Riella Co-Author

"Corporate Penalty Guidelines," Covington Advisory (1/7/2006)
Bruce Baird Co-Author, David Martin Co-Author

"Shareholder Proposals," BNA Corporate: Practice Series Portfolio No. 83 (2006)
Keir Gumbs

"Interview with Keir D. Gumbs, Esq.: Navigating the SEC No-Action Request Process: How to Avoid Common Problems With Shareholder Proposals," Corporate Counsel Weekly (11/30/2005)
Keir Gumbs

"Securities Registration: Will Free Writing Prospectuses Be Used?," Insights: The Corporate & Securities Law Advisor (October 2005)
David Martin Co-Author, Keir Gumbs Co-Author

"A Breath of Fresh Air: The SEC Adopts Securities Offering Reform Amendments," Covington Advisory (7/26/2005)
David Martin Co-Author, Bruce Bennett Co-Author, Keir Gumbs Co-Author

"In Search of Internal Control - A Mid-Course Correction?," BNA Corporate Accountability Report (7/8/2005)
David Martin Co-Author, David Engvall Co-Author

"FDA Disclosure in an SEC World," Drug Information Association Annual Conference, Washington, DC (6/29/2005)
Scott Cunningham

"In Search of Internal Control - A Mid-Course Correction?," Covington Advisory (6/16/2005)
David Martin Author

"Securities Registration: Understanding Succession Under The Federal Securities Laws," Insights: The Corporate & Securities Law Advisor (April 2005)
Keir Gumbs

"Sarbanes-Oxley Compliance Table," Covington Report (3/9/2005)

"In re Worldcom, Inc. Securities Litigation: Due Diligence for Underwriters and Directors," Covington Report (3/7/2005)
Bruce Bennett Author

"Hedge Fund Managers: Summary and Implications of New Rules Requiring SEC Registration," Journal of Investment Compliance (March 2005)
Carolyn Taylor Author

"New Securities Law Disclosures in 2004 - U.S. and Foreign Private Issuers," Covington Advisory (11/1/2004)
David Martin Co-Author, D. Michael Lefever Co-Author, Kerry Burke Co-Author

"New Deferred Compensation Legislation: Corporate and Securities Law Issues for Companies Amending Compensation Plans and Arrangements," Covington Advisory (10/29/2004)
David Martin Co-Author

"Whistleblower Protection Under the Sarbanes-Oxley Act," Wall Street Lawyer (October 2004)
David Martin Co-Author, Barbara Hoffman Co-Author

"Hedge Funds: SEC Proposes to Require Hedge Fund Adviser Registration," BNA Securities Regulation & Law (9/6/2004)
David Martin Co-Author, Carolyn Taylor Co-Author

"Protection for Whistleblowers Under the Sarbanes-Oxley Act," BNA Corporate Accountability (8/13/2004)
David Martin Co-Author, Barbara Hoffman Co-Author

"SEC Proposes to Require Hedge Fund Adviser Registration," Covington Advisory (8/5/2004)
David Martin Co-Author, Carolyn Taylor Co-Author

"An Expanding and Accelerating Universe: Securities Law Disclosures in 2004," Benefits Practice Center, Executive Compensation Library, Journal Reports: Law and Policy (BNA) (August 2004)
Kerry Burke Co-Author, David Martin Co-Author

"SEC Alleges Another Fair Disclosure Violation Against Siebel Systems, Along with Lack of Disclosure Controls," Covington Report (7/2/2004)

"SEC Expands Form 8-K Requirements and Shortens Filing Deadline," Covington Advisory (4/6/2004)
David Martin Author

"A New Standard for Auditing Internal Control Over Financial Reporting," Covington Advisory (3/26/2004)
David Martin Co-Author, David Engvall Co-Author

"SEC and FDA Announce New Referral Program," Covington Report (2/23/2004)

"Another Call For Disclosure by Public Companies of Business in Terrorist-Supporting States," Covington Advisory (2/18/2004)

"The SEC's New MD&A Interpretive Release," Covington Report (2/12/2004)
Bruce Bennett

"New NYSE and Nasdaq Corporate Governance Listing Standards," Covington Advisory (2/12/2004)
David Martin Co-Author, David Engvall Co-Author

"New Securities Law Disclosures in 2004: Forms 10-K, 10-Q and 8-K and Proxy Statement," Covington Advisory (1/12/2004)
David Martin Co-Author, Kerry Burke Co-Author, D. Michael Lefever Co-Author

"Shareholder Democracy: An Analysis of Current Trends," PLC Global Counsel Handbook on Corporate Governance and Directors' Duties (January 2004)
David Martin Author

"European Union Prospectus Directive," Covington Advisory (12/2/2003)
David Martin Co-Author, Bruce Bennett Co-Author, Simon Currie Co-Author

"Beware the New Cops On the Block," European Lawyer (December 2003/January 2004)
David Martin Co-Author, Alan Vinegrad Co-Author

"The New NYSE and Nasdaq Corporate Governance Listing Standards," The M & A Lawyer (November/December 2003)
David Martin Co-Author, David Engvall Co-Author

"Mutual Funds Under Investigation," European Lawyer (October 2003)
David Martin Author

"Securities Disclosure: To Be or Not to Be 'Filed'," Insights (September 2003)
David Martin Co-Author

"Sarbanes-Oxley Foreign Private Issuer Compliance Table," (8/14/2003)Covington & Burling

"Shareholder Approval for Equity Compensation Plans," Covington Advisory (7/24/2003)
David Martin Co-Author

"Jump-Starting Compliance With SEC Internal Control Rules," Reproduced with permission from BNA's Corporate Accountability, Vol. 1, No. 23. Copyright 2002 by The Bureau of National Affairs, Inc. (6/27/2003)
David Martin Co-Author, David Engvall Co-Author

"Reporting Earnings - A New Model," Covington Advisory (6/26/2003)
David Martin Co-Author, David Engvall Co-Author

"Internal Control," Covington Advisory (6/13/2003)
David Martin Co-Author, David Engvall Co-Author

"Internal Controls - Disclosure and Attestation Requirements," Covington Advisory (5/28/2003)
David Martin Co-Author, David Engvall Co-Author

"Mandatory Electronic Filing and Website Posting of Section 16 Reports," (5/12/2003)
D. Michael Lefever Author

"Standards for Listed Company Audit Committees," Covington Advisory (5/7/2003)
David Martin Co-Author

"A New Deal For Wall Street," European Lawyer (May 2003)
David Martin Co-Author

"Regulation Analyst Certification," Covington Advisory (4/17/2003)
David Martin Co-Author

"Blacking Out Blackouts - Regulation BTR," Covington Advisory (2/24/2003)
David Martin Co-Author

"Conditions for Using Non-GAAP Financial Measures and Publicizing Earnings," Covington Advisory (2/24/2003)
David Martin Author

"Auditor Independence and Workpaper Retention Rules," (2/24/2003)
David Martin Co-Author, Kerry Burke Co-Author

"Standards of Professional Responsibility," Covington Advisory (2/24/2003)
David Martin Co-Author

"Off-Balance Sheet Arrangements and Contractual Obligations," Covington Advisory (2/24/2003)
David Martin Author

"Exposing Ethics and Experts," Covington Advisory (2003)
David Martin Author

"Enron's Secondary Actors," Covington Advisory (1/7/2003)
David Martin Co-Author

"Taming the Beast," Corporate Counsel (December 2002)
David Martin Co-Author

"Regulation FD's Bounty," Covington Advisory (11/27/2002)
David Martin Author

"CEO and CFO Certifications and New Filing Deadlines for Annual and Quarterly Reports," Covington Advisory (9/17/2002)
David Martin Co-Author

"SEC Issues Faster Filing, Website Disclosure Rules," Covington Advisory (9/16/2002)
David Martin Co-Author

"SEC Implements Two-Day Section 16 Reporting under Sarbanes-Oxley," (8/30/2002)
D. Michael Lefever Author

"Recent Developments Regarding CEO & CFO Certifications," Covington Alert (7/31/2002)

"When a Frog is Just a Frog," European Lawyer (July/August 2002)
David Martin Author

"A Summary of Sarbanes-Oxley Act of 2002," Covington Advisory (7/26/2002)
David Martin Co-Author, John Vine Co-Author

"CEO & CFO Sworn Statements - SEC Order No. 4-460," Covington Advisory (7/19/2002)
David Martin Author

"Broadening the Protections for Forward-Looking Statements," Public Company Advocate (10/1/1999)
C. William Phillips Co-Author

"Comments to the SEC to Release No. 33-7606A (widely known as the "aircraft carrier")," on behalf of the Association of Publicly Trade Companies and the National Venture Capital Association (3/16/1999)
Dana Ackerly Author

"Blue Ribbon Panel Sends Wake Up Call to Sleepy Audit Committees," Public Company Advocate (2/1/1999)
W. Andrew Jack Author

"SEC Proposes to Increase Reporting and Liability Burden on Public Ccompanies," Public Company Advocate (12/31/1998)
Dana Ackerly Author

"Lawyer Liability Under the Securities Laws: Recent Developments," ALI-ABA Postgraduate Course in Federal Securities Law (8/22/1998)
Wendy Feng Co-Author

"SEC Makes Changes in Shareholder Proposal System," Public Company Advocate: Notes from Counsel (6/1/1998)
Dana Ackerly Author

"SEC Issues Guidance on Use of Internet in Securities Transactions," Lawmoney (4/28/1998)
Dana Ackerly Author

"Court Disagrees with SEC Position on Insider Trading," Public Company Advocate: Notes from Counsel (4/20/1998)
Dana Ackerly Author