SEC Compliance, Enforcement & Litigation Update

March 24, 2011

SEC Practice Series Complimentary Webinar

Archived media:

The lawyers of McGuireWoods' SEC practice group provide an informative discussion of securities law developments, and guidance on enforcement and litigation matters.

Securities Ratings & Short Form Registration
Jill Misage Webb
An explanation of the SEC’s Feb. 9, 2011, rule proposal to remove credit ratings as one of its allowances for companies without the requisite public float (such as wholly owned subsidiaries) to use short-form Form S-3 registration when registering securities for public sale.

Improper Resale of Restricted Securities
Karl M. Strait
A discussion of a recent court case in which a private company and its former CEO were required to pay a $3.4 million judgment, in part because they failed to satisfy the requirements of Rule 144 under the Securities Act.

Expert Network Insider Trading Charges
Allison D. Charney
An explanation of the SEC’s charges against six expert network consultants and employees of illegally tipping hedge funds and other investors.

Proposed Special Disclosures for Extractive Minerals
D. Cameron Prell
A discussion of the SEC’s proposal to require resource extraction issuers to disclose information to a foreign government or the U.S. government for the purpose of commercial development of oil, natural gas or minerals.

Moderated by James M. Anderson III, Partner, McGuireWoods LLP