SEC Compliance, Enforcement & Litigation Update

January 27, 2011

Complimentary Webinar 

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

For information on upcoming events and seminars, click here.