SEC Compliance and Enforcement Update – September 2012

September 25, 2012

McGuireWoods LLP SEC Practice Complimentary Webinar Series 

Archived media:

  • Webinar playback
  • Presentation (PDF) 

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

Compensation Committee Independence/Listing Standards
G. William Tysse, McGuireWoods LLP
Jeffrey R. Capwell, McGuireWoods LLP
An overview of the SEC’s finalized independence rules for compensation committees of public companies and their advisers. In addition, the program will review the related compensation committee independence listing standards to be developed by the New York Stock Exchange, NASDAQ and the other self-regulatory organizations (provided those standards are issued by the time of the webinar).

Conflict Minerals
D. Cameron Prell, McGuireWoods LLP
Rakesh Gopalan, McGuireWoods LLP
On Aug. 22, 2012, the SEC adopted a long-awaited final rule pursuant to Section 13(p) of the 1934 Act that requires public companies to disclose their use or non-use of certain “conflict minerals” (CM) originating in the Democratic Republic of the Congo (DRC) and all adjoining African nations. This discussion will outline the scope of the rule, applicable due diligence and disclosure requirements, and the direct and indirect implications for issuers and their supply chain vendors.

Changes to Rule 506
Nova D. Harb, McGuireWoods LLP
A discussion of the SEC’s proposed rule to eliminate the prohibition against general solicitation in Rule 506 and Rule 144A offerings.

Moderated by James (J) M. Anderson III, Partner, McGuireWoods LLP