SEC Compliance, Disclosure and Enforcement Update

October 22, 2013

McGuireWoods LLP SEC Practice Complimentary Webinar Series

Archived media:

McGuireWoods' SEC practice group provides an informative discussion of securities law developments, as well as guidance on compliance matters.

Exclusive Forum Bylaw Provisions
James (J) M. Anderson III, Partner

J discusses the use of director-adopted bylaw provisions requiring an exclusive forum for certain types of shareholder litigation.

Conflict Minerals Disclosures
Rakesh Gopalan, Associate

Rakesh provides an update on readiness (or not) for conflict minerals disclosures among public companies and their private company suppliers.

CEO Pay Ratio Rule
G. William Tysse, Partner

Will discusses the SEC’s new CEO pay ratio proposal and some developments in say-on-pay litigation.

Admissions in SEC Settlements
Robert Plotkin, Partner
Robert discusses recent changes to the SEC's policy on permitting defendants to settle actions without admitting or denying the SEC's allegations, as well as how settling defendants can seek to minimize the impact of having to make admissions on parallel civil litigation.

Reg M Update – Recent Short Selling Cases
Louis D. Greenstein, Partner
James C. Freije, Attorney
Louis and Jim discuss recently announced cases involving violations of Reg M Rule 105 involving prohibited combinations of short selling and IPO purchases, including a brief description of Regt M and suggested compliance procedures for this issue.

Moderated by Karl M. Strait, Partner, McGuireWoods LLP