SEC Compliance and Disclosure Update

May 20, 2014

Complimentary Webinar

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

Conflict Minerals Rule Update
Rakesh Gopalan, Partner
Rakesh will present an update on the current status of the conflict minerals rule in light of the D.C. Circuit’s ruling and the SEC’s reaction.

SEC Actions Against Lawyers
James C. Freije, Attorney
Jim will explore recent cases in which the SEC pursued sanctions and claims against attorneys.

Financial Advisor Conflicts — Rural Metro
Stephen E. Older, Partner
Stephen will discuss a recent case (Rural Metro) in which financial advisors were found to have violated their fiduciary duty in an M&A context.

Regulation A+
Katherine K. DeLuca, Associate
Katie will give an update on the proposed Regulation A+, and the SEC’s attempt to revive a rarely used exemption to the registration requirements of the Securities Act.

Moderated by Jane Whitt Sellers, Partner, McGuireWoods LLP