Practising Law Institute's 41st Annual Institute on Securities Regulation

November 4-6, 2009
New York, New York

Mr. Cohen and Mr. Harms spoke at the Practising Law Institute's 41st Annual Institute on Securities Regulation in New York. Mr. Cohen spoke on the panel, "Financial Markets and Regulatory Overview." The panel discussed the origins of the turmoil in the financial services industry over the past year and current efforts at regulatory and legislative reform, including proposals to regulate derivatives, permit resolution of failed non-bank financial institutions, strengthen investor protection and consolidate regulatory authority. Mr. Harms moderated the panel, "Capital Markets Transactions in Difficult Times," which discussed various capital-raising alternatives, such as concurrent public/private offerings, at-the-market offerings, registered directs, PIPES, rights offerings and exchange offers.