Table Of Content

Index To Volumes 26, 27, And 28 (2002-2004) AUTHORS, SUBJECTS, and FORMS Numbers following each item represent: Volume—Issue Number—Page See www.ali-aba.org/aliaba/sarticles.htm to search for outlines from prior years of this periodical. Outlines from the ALI-ABA Business Law Course Mate- rials Journal from February 2000 (Volume 24, No. 1) forward are available online at www..ali-aba.org AUTHORS Allecta, Julie—Investment Company Shareholder Meetings and Shareholder Voting. 26, 6, 5. Alvarez, Fred W. and Nader, Michael J.—The Year Of The Whistleblower: A Primier On The Anti-Retaliation Provisions Of Sarbanes-Oxley. 28, 1, 5. Ball, Corinne and Kane, John K.—How To Handle Corporate Distress Sale Transactions. 27, 2, 23. Barnes, Willie R.—Enforcement Of State Securities Laws. (Part 1) 28, 3, 43; (Part 2) 28, 4, 35. Berglund, Brian W. and Winn, Jennifer L—Employee Benefit Aspects of the Sarbanes-Oxley Act of 2002 (with Form). 27, 5, 19. Bratspies, Rebecca M.—Biotechnology Primer For Lawyers. 28, 4, 5. Carvell, D. Wade, and Houser, Barbara J.—Section 363 Issues—Acquiring Troubled Companies and Assets. (Part 1) 26, 1, 35; (Part 2) 26, 2, 25. Cowart, T. David—Vesting, Participation And Coverage Victories For The “Little Guy.” (Part 1) 28,1, 41; (Part 2) 28, 2, 25. Cowart, Greta E——HIPAA Standards for Electronic Transactions. 27, 5, 49. —HIPAA’s Final Security Regulations For Electronic Protected Health Information (With Charts). 27, 6, 5. Donn, Allan G.—Limited Liability Entities For Law Firms (With Charts). (Part 1) 28, 5, 47; (Part 2) 28, 6, 47. Duff, David A.—What Kind of Plan Does a Small Business or Professional Client Need? 27, 3, 27. Ellis, Edward T.—Protection of Intangible Business Assets: Trade Secrets in the Age of Federal Computer Legislation. 27, 1, 41. Eracleous, Elena, and Sirkin, Michael $S.—Dealing with Golden Parachutes Immediately Before and After the Deal Closes. 26, 5, 5. 57 58 ALI-ABA Business Law Course Materials Journal December 2004 Fleming, Joseph Z.—The Sarbanes-Oxley Act of 2002, Whistleblowing and Other Areas of Concern for Employers. 27, 4, 43. Ford, Gary M., and Prame Michael J.—Bankruptcy And Defined Benefit Pension Plans. 27, 6, 45. Germain, Kenneth B.—Guess What? Fair Use Isn’t, Disparagement Is, And Parody Might Be Trademark Infringement. 27, 6, 35. Gilkerson, Christopher—Internet Communications Between Broker-Dealers and Their Clients. 26, 5, 37. Gold, Joshua—Insurance Coverage for Internet and Computer-Related Claims. 26, 2, 5. Guttenberg, Jeleen, Lawson, Michael A., and Soh, Rhan—Dealing with Employee Benefits and Executive Compensation Issues in Mergers. 27, 4, 5. Hausman, Alan and Miller, Robert—Disaster and Emergency Planning. a7, 1,5. Hiatt, Constance M.—Current Issues and Procedures for Section 401(K) Plans. 26, 2, 45. Hoffman, Sally L.—The CPA’s Professional Standards: What Are They? Who Sets Them? What Are the Key Issues Today? 26, 3, 5. Hoffman, Susan Katz—ERISA Enforcement of Nonqualified Executive Compensation Arrangements. 26, 1, 21. Houser, Barbara J., and Carvell, D.W ade—Section 363 Issues—Acquiring Troubled Companies and Assets. (Part 1) 26, 1, 35; (Part 2) 26, 2, 5. Johnson, Barbara L., and Williams, C. Scott—How To Investigate And Avoid Employee Violence And Other Misconduct. 28, 2, 5. Kane, John K. and Ball, Corrine—How To Handle Corporate Distress Sale Transactions. 27, 2, 23. Kepchar, Karol A.—Selecting and Searching Trademarks. 27, 5, 5. Kini, Satish M.—Designing Robust Anti-Money Laundering Programs For Mutual Funds. 28, 4, 25. Lawson, Michael A., Guttenberg, Jeleen, and Soh, Rhan—Dealing with Em- ployee Benefits and Executive Compensation Issues in Mergers. 27, 4, 5. Leibensperger, Edward P. and Papenhausen, Lauren M.—Auditor Liability For Securities Fraud After The PSLRA And Sarbanes-Oxley. 28,1, 15. Levine, Stuart—A Model Limited Liability Operating Agreement. 26, 6, 21. Lipton, Richard M.—New Rules Likely to Increase Use of Tenancy-in-Com- mon Ownership in Like-Kind Exchanges. 27, 2, 39. Lybecker, Martin E.—Bank Securities, Mutual Fund, and Common Trust Fund Provisions of the Gramm-Leach-Bailey Act. 27, 3, 5. Index To Volumes 26, 27, And 28 (2002-2004) 59 Mahaffey, Sylvia M. and Peyser, Lilyanna L.—Regulation D Offerings and the Internet. 27, 3, 39. Makens, Hugh H.—Private Placement Due Diligence Checklists. 27, 4, 29. Marmer, Ronald L., Stauffer, Robert R., Schrantz, Erin R., and Moran Molly, J—How To Conduct An internal Corporate Investigation After Sarbanes-Oxley. 28, 6, 15. Martin, Alson R.—Affiliated Service Groups—Feeling Your Way Through The Fog. 28, 5, 17 Miller, Robert and Hausman, Alan—Disaster and Emergency Planning. yf Moran Molly J., Marmer, Ronald L., Schrantz, Erin R., and Stauffer, Robert R.—How To Conduct An Internal Corporate Investigation After Sarbanes- Oxley. 28, 6, 15. Mugdan, Walter E.—The Small Business Liability Relief and Brownfields Re- vitalization Act. 26, 4, 5. Nader, Michael J. and Alvarez, Fred W.—The Year Of The Whistleblower: A Primer On The Anti-Retaliation Provisions Of Sarbanes-Oxley. 28, 1, 5. Nixon, John A.—What You Need To Know About ERISA’s Fiduciary Re- sponsibility Rules. 28, 3, 5. Panken, Peter M., and Rasnick, Lauri F—Wage Hour Laws: Avoiding the Quicksand and Land Mines. 26, 4, 31. Papenhausen, Lauren M. and Leibensperger, Edward P.—Auditor Liability For Securities Fraud After The PSLRA And Sarbanes-Oxley. 28, 1, 15. Perdue, Pamela D.—Retirement Plans for Corporate Directors, Consultants, and Other Self-Employed Individuals. 27, 2, 5. Peyser, Lilyanna L.—Regulation D Offerings and the Internet. 27, 3, 39. Prame, Michael J., and Ford, Gary M.—Bankruptcy And Defined Benefit Pension Plans. 27, 6, 45. Raish, David L. and Remmer, Sharon—How The Unrelated Business Tax- able Income Rules Apply To Qualified Retirement Plans. 28, 5, 5. Rasnick, Lauri F. and Panken, Peter M.—Wage Hour Laws: Avoiding the Quicksand and Land Mines. 26, 4, 31. Remmer, Sharon and Raish, David L.—How The Unrelated Business Tax- able Income Rules Apply To Qualified Retirement Plans. 28, 5, 5. Rothschild, Gita E—Resolving Environmental Insurance Claims: Key Issues from the Policyholder’s Perspective. 26, 1, 5. Schler, Michael L.—Consolidated Return Issues for Buyers and Sellers in M&A Transactions. 27, 1, 15. 60 ALI-ABA Business Law Course Materials Journal December 2004 Schrantz, Erin R., Stauffer, Robert R., Marmer, Ronald L., and Moran Molly, J—How To Conduct An internal Corporate Investigation After Sarbanes-Oxley. 28, 6, 15. Sirkin, Michael S., and Eracleous, Elena—Dealing with Golden Parachutes Immediately Before and After the Deal Closes. 26, 5, 5. Smith, Edwin E.—Sample Form of Revised UCC Article 9 Security Agree- ment and Perfection Certificate. 26, 3, 37. Smith, Sidney R.—Model Private Placement Due Diligence Checklist. 28, 2, 17. Soh, Rhan, Lawson, Michael A., and Guttenberg, Jeleen—Dealing with Em- ployee Benefits and Executive Compensation Issues in Mergers. 27, 4, 5. Stauffer, Robert R., Marmer, Ronald L., Schrantz, Erin R., and Moran Molly, J.—How To Conduct An internal Corporate Investigation After Sarbanes-Oxley. 28, 6, 15. Stern, Elizabeth Espin—Counseling The Client On Specialty Worker (H-1B) And Intracompany Transferee (L-1) Visas. 28, 6, 5. Whiteway, Andrea Macintosh and Wreggelsworth, James E.—When Does A Partnership Terminate Under Federal Tax Law? (Part 1) 28,2, 41; (Part 2). 2h, 3, 27. Winn, Jennifer L. and Berglund, Brian W.—Employee Benefit Aspects of the Sarbanes-Oxley Act of 2002 (with Form). 27, 5, 19. Wreggelsworth, James E. and Whiteway, Andrea Macintosh—When Does A Partnership Terminate Under Federal Tax Law? (Part 1) 28,2, 41; (Part 2) 28, 3, 27. Yanni, Palma R.—Authorized Work On Non-Work Visas: Visitors, Students, and Trainees. 26, 4, 21. SUBJECTS COMMERCIAL LENDING AND FINANCE Bankruptcy And Defined Benefit Pension Plans. Gary M. Ford and Michael J. Prame. 27, 6, 45. Sample Form of Revised UCC Article 9 Security Agreement and Perfection Certificate. Edwin E. Smith. 26, 3, 37. CORPORATE LAW The CPA’s Professional Standards: What Are They? Who Sets Them? What Are the Key Issues Today? Sally L. Hoffman. 26, 3, 5. Dealing with Employee Benefits and Executive Compensation Issues in Mergers. Michael A. Lawson, Jeleen Guttenberg, and Rhan Soh. 27, 4, 5. Index To Volumes 26, 27, And 28 (2002-2004) 61 Dealing with Golden Parachutes Immediately Before and After the Deal Closes. Michael S. Sirkin and Elena Eracleous. 26, 5, 5. Disaster and Emergency Planning. Alan B. Hausman. 27, 1, 5. How To Conduct An internal Corporate Investigation After Sarbanes-Oxley. Ronald L Marmer, Robert R. Stauffer, Erin R. Schrantz, and Molly J. Moran. 28, 6, 15. How To Handle Corporate Distress Sale Transactions. Corinne Ball. 27, 2, 23. Investment Company Shareholder Meetings and Shareholder Voting. Julie Allecta. 26, 6, 5. The Sarbanes-Oxley Act of 2002, Whistleblowing and Other Areas of Concern for Employers. Joseph Z. Fleming. 27, 4, 43. EMPLOYMENT LAW Affiliated Service Groups—Feeling Your Way Through the Fog. Alson R. Martin. 28, 5, 17 Authorized Work On Non-Work Visas: Visitors, Students, and Trainees. Palma R. Yanni. 26, 4, 21. Counseling The Client On Specialty Worker (H-1B) And Intracompany Transferee (L-1) Visas. Elizabeth Espin Stern. 28, 6, 5. Dealing with Employee Benefits and Executive Compensation Issues in Mergers. Michael A. Lawson, Jeleen Guttenberg, and Rhan Soh. 27, 4, 5. Dealing with Golden Parachutes Immediately Before and After the Deal Closes. Michael S. Sirkin and Elena Eracleous. 26, 5, 5. ERISA Enforcement of Nonqualified Executive Compensation Arrange- ments. Susan Katz Hoffman. 26, 1, 21. How To Investigate And Avoid Employee Violence And Other Misconduct. Barbara L. Johnson and C. Scott Williams. 28, 2, 5. The Sarbanes-Oxley Act of 2002, Whistleblowing and Other Areas of Concern for Employers. Joseph Z. Fleming. 27, 4, 43. Wage Hour Laws: Avoiding the Quicksand and Land Mines. Peter M. Panken and Lauri F. Rasnick. 26, 4, 31. The Year Of The Whistleblower: A Primer On The Anti-Retaliation Provisions Of Sarbanes-Oxley. Fred W. Alvarez and Michael J. Nader. 28, 1, 5. ENVIRONMENTAL LAW Resolving Environmental Insurance Claims: Key Issues from the Policyhold- er’s Perspective. Gita F. Rothschild. 26, 1, 5. 62 ALI-ABA Business Law Course Materials Journal December 2004 HEALTH LAW HIPAA Standards for Electronic Transactions. Greta E. Cowart. 27, 5, 49. HIPAA’s Final Security Regulations For Electronic Protected Health Informa- tion (with Charts). Greta E. Cowart. 27, 6, 5. IMMIGRATION LAW Authorized Work On Non-Work Visas: Visitors, Students, and Trainees. Palma R. Yanni. 26, 4, 21. Counseling The Client On Specialty Worker (H-1B) And Intracompany Transferee (L-1) Visas. Elizabeth Espin Stern. 28, 6, 5. INSURANCE Insurance Coverage for Internet and Computer-Related Claims. Joshua Gold. 26, 2, 5. Resolving Environmental Insurance Claims: Key Issues from the Policyhold- er’s Perspective. Gita F. Rothschild. 26, 1, 5. INTELLECTUAL PROPERTY Biotechnology Primer For Lawyers. Rebecca M. Bratspies. 28, 4, 5. Guess What? Fair Use Isn’t, Disparagement Is, And Parody Might Be Trade- mark Infringement. Kenneth B. Germain. 27, 6, 35. Protection of Intangible Business Assets: Trade Secrets in the Age of Federal Computer Legislation. Edward T. Ellis. 27, 1, 41. Selecting and Searching Trademarks. Karol A. Kepchar. 27, 5,5 INTERNET HIPAA Standards for Electronic Transactions. Greta E. Cowart. 27, 5, 49. HIPAA’s Final Security Regulations For Electronic Protected Health Informa- tion (with Charts). Greta E. Cowart. 27, 6, 5. Insurance Coverage for Internet and Computer-Related Claims. Joshua Gold. 26, 2, 5. Internet Communications Between Broker-Dealers and Their Clients. Christopher Gilkerson. 26, 5, 37. Regulation D Offerings and the Internet. Sylvia M. Mahaffey. 27, 3, 39. LIMITED LIABILITY COMPANY LAW Limited Liability Entities For Law Firms (With Charts). Allan G. Donn. (Part 1) 28, 5, 47; (Part 2) 28, 6, 47. Index To Volumes 26, 27, And 28 (2002-2004) 63 A Model Limited Liability Company Operating Agreement. Stuart Levine. 26, 6, 21. MERGERS AND ACQUISITIONS Consolidated Return Issues for Buyers and Sellers in M&A Transactions. Michael L. Schler. 27, 1, 15. Dealing with Employee Benefits and Executive Compensation Issues in Mergers. Michael A. Lawson, Jeleen Guttenberg, and Rhan Soh. 27, 4, 5. Dealing with Golden Parachutes Immediately Before and After the Deal Closes. Elena Eracleous. 26, 5, 5. Section 363 Issues—Acquiring Troubled Companies and Assets. Barbara J. Houser and Douglas Wade Carvell. (Part 1) 26, 1, 35; (Part 2) 26, 2, 25. REAL ESTATE New Rules Likely to Increase Use of Tenancy-in-Common Ownership in Like-Kind Exchanges. Richard M. Lipton. 27, 2, 39. RETIREMENT PLANS Bankruptcy And Defined Benefit Pension Plans. Gary M. Ford and Michael J. Prame. 27, 6, 45. Current Issues and Procedures for Section 401(K) Plans. Constance M. Hiatt. 26, 2, 45. Employee Benefit Aspects of the Sarbanes-Oxley Act of 2002 (with Form). Brian W. Berglund and Jennifer L. Winn. 27, 5, 19. How The Unrelated Business Taxable Income Rules Apply To Qualified Re- tirement Plans. David L. Raish And Sharon Remmer. 28, 5, 5. Retirement Plans for Corporate Directors, Consultants, and Other Self-Em- ployed Individuals. Pamela D. Perdue. 27, 2, 5. Vesting, Participation, And Coverage Victories For The “Little Guy.” T. David Cowart. (Part 1) 28, 1, 41; (Part 2) 28, 2, 25. What Kind of Plan Does a Small Business or Professional Client Need? David A. Duff. 27, 3, 27. What You Need To Know About ERISA’s Fiduciary Responsibility Rules. John A. Nixon 28, 3, 5. SECURITIES LAW Auditor Liability For Securities Fraud After The PSLRA And Sarbanes-Oxley. Edward P. Leibensperger and Lauren M. Papenhausen. 28, 1, 15. 64 ALI-ABA Business Law Course Materials Journal December 2004 Bank Securities, Mutual Fund, and Common Trust Fund Provisions of the Gramm-Leach-Bailey Act. Martin E. Lybecker. 27, 3, 5. Designing Robust Anti-Money Laundering Programs For Mutual Funds. Satish M. Kini. 28, 4, 25. Enforcement Of State Securities Laws. Willie R. Barnes. (Part 1). 28, 3, 43; (Part 2) 28, 4, 35. Internet Communications Between Broker-Dealers and Their Clients. Christopher Gilkerson. 26, 5, 37. Investment Company Shareholder Meetings and Shareholder Voting. Julie Allecta. 26, 6, 5. Model Private Placement Due Diligence Checklist. Sidney R. Smith. 28, 2, 17. Private Placement Due Diligence Checklists. Hugh H. Makens. 27, 4, 29. Regulation D Offerings and the Internet. Sylvia M. Mahaffey and Lilyanna L. Peyser. 27, 3, 39. The Sarbanes-Oxley Act of 2002, Whistleblowing and Other Areas of Concern for Employers. Joseph Z. Fleming. 27, 4, 43. TAXATION New Rules Likely to Increase Use of Tenancy-in-Common Ownership in Like-Kind Exchanges. Richard M. Lipton. 27, 2, 39. When Does A Partnership Terminate Under Federal Tax Law? Andrea Macintosh Whiteway and James E. Wreggelsworth. (Part 1) 28, 2, 41; (Part 2) 28, 3, 27. FORMS BUSINESS FORMS HIPAA Electronic Protected Information Compliance Charts. 27, 6, 28. A Model Limited Liability Company Operating Agreement. 26, 6, 21. Model Regulatory Blackout Period Notice (Sarbanes-Oxley). 27, 5, 46. UCC UCC Sample Form of Revised UCC Article 9 Security Agreement and Perfec- tion Certificate. 26, 3, 37. To purchase the online version of this index, go to www.ali-aba.org and click on “online”.