SEC Compliance, Enforcement & Litigation Update

February 24, 2011

Complimentary Webinar

Archived media: 

  • Slideshow

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

Facebook Offering – What Went Wrong
David N. Oakey

A discussion of the legal issues involved in the Facebook offering.

NIC Perks Case
Katherine K. DeLuca

An overview of the allegations and settlement in the SEC’s case involving serious failures to disclose perquisites by NIC Inc.

Accredited Investors Definition Changes
Rachel Williams Mantz

A brief discussion of the proposed changes to the definition of an accredited investor.

SEC Study on Broker-Dealer Fiduciary Duties
Anitra T. Cassas

Highlights of the SEC’s study on the imposition of a fiduciary standard for broker-dealers, and harmonization of the broker-dealer and investment adviser regulations.

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

For information on upcoming events and seminars, click here.