SEC Compliance, Disclosure & Litigation Update

February 28, 2012

SEC Practice Series Complimentary Webinar

Archived media:

Please join the lawyers of McGuireWoods’ SEC practice group for an informative discussion of securities law developments, as well as guidance on disclosure and litigation matters.

Further Limits to Broker Discretionary Voting
Katherine K. DeLuca, McGuireWoods LLP
A brief discussion of the recent changes limiting broker discretion in the case of specified management-sponsored corporate governance proposals.

The “Functional Equivalent” Doctrine
Thomas E. Spahn, McGuireWoods LLP
A discussion of the risks of waiving attorney-client privilege protection when dealing with nonemployees — including independent contractors who are the “functional equivalent” of employees and third-party consultants/advisers.

SEC Enforcement Update
Jeffrey J. Chapman, McGuireWoods LLP
A discussion of the SEC’s use of new enforcement powers and a discussion of recent enforcement actions. 

SEC v. Verizon on Equity Award Proxy Disclosure
G. William Tysse, McGuireWoods LLP
A discussion of a recent spat between the SEC and Verizon regarding Verizon’s proxy disclosure of certain performance-based equity grants to its named executive officers.

Moderated by Karl M. Strait, Partner, McGuireWoods LLP

Back to top