SEC Compliance, Disclosure & Litigation Update

January 24, 2012

SEC Practice Series Complimentary Webinar

The lawyers of McGuireWoods’ SEC practice group provide an informative discussion of securities law developments, as well as guidance on disclosure and litigation matters.

Archived media:

  • Webinar playback
  • Slideshow (PDF)


SEC v. Citigroup Global Markets Inc.
Kurt E. Wolfe, McGuireWoods LLP
A discussion of the implications and trends arising from the recent Second Circuit decision related to the SEC and Citigroup’s attempt to settle allegations that Citigroup shorted a fund of mortgage-backed securities that it created without disclosing its short position to investors.

Net Worth Standard for Accredited Investors
Nova D. Harb, McGuireWoods LLP
A discussion of the final net worth standard for accredited investors recently adopted by the SEC pursuant to the requirements of Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

SEC vs. Fifth Third Bancorp Cease and Desist Order (Reg FD Violation)
Rakesh Gopalan, McGuireWoods LLP
A brief recap of the SEC’s November 2011 consent order with Fifth Third Bancorp regarding the bank’s selective disclosure of redemption of its trust-preferred securities for a price that was less than the current trading price.

2012 Proxy Season ISS Policy Updates
Nova D. Harb, McGuireWoods LLP
An overview of the key ISS policy updates for U.S. companies for the 2012 proxy season, including revised policies on executive compensation, say-on-pay votes, proxy access, incentive plans and more.