SEC Compliance, Enforcement & Litigation Update

January 27, 2011

Complimentary Webinar

Archived media:

McGuireWoods' SEC practice group provides an informative discussion of annual reporting and annual meeting matters, an update on proposed CFTC and SEC Dodd-Frank derivatives rules, and guidance on enforcement and litigation matters.

Top 10 Annual Reporting and Meeting Season Suggestions
Janie Whitt Sellers & Meredith Sanderlin Thrower

Presentation of a “top 10” list of suggestions to keep in mind for the 2011 annual reporting and meeting season. These suggestions have been developed with reference to the Dodd-Frank Act and related SEC rulemaking activities, including the SEC's adoption of final "say-on-pay" advisory vote rules on Jan. 25, 2011. We'll also cover SEC-issued comments on compliance in 2010 with the December 2009 disclosure enhancement rule changes.

Over-the-Counter Derivatives: “End-User” Provisions
Karl M. Strait

A discussion of CFTC and SEC proposed rules that will affect end users of over-the-counter derivatives.

Whistleblower Incentives
Kurt E. Wolfe

A brief update on the whistleblower program created under the Dodd-Frank Act, including the SEC rule implementing the program that would reward individuals who provide the SEC with high-quality tips that lead to successful enforcement actions.

SEC Agrees to Non-Prosecution Agreement
Samantha E. Thompson

A brief discussion of the December 2010 non-prosecution agreement between the SEC and Carter’s Inc. The first-of-its-kind agreement reveals an alternate route and potential resolution for companies subject to SEC inquiry.

Moderated by Karl M. Strait, Partner, McGuireWoods

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