SEC Compliance and Disclosure Update

January 27, 2015

Complimentary Webinar Series

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

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Insider Trading after U.S. v. Newman
Cheryl L. Haas, Partner
Cheryl discussed the recent 2nd Circuit Court decision of U.S. v. Newman which sets clear limitations on government prosecution of remote tippees, and the likely implication of this ruling on civil and criminal insider trading cases.

“Knowing Participation” in Recent Delaware Cases
Jeffrey Lee Rothschild, Partner
Jeff provided a Delaware law update focusing on “knowing participation” and contrasting Bouchard’s view in Lee v. Pincus with Laster’s view in Rural/Metro and SunTrust.

Proxy and Annual Reporting Season Update
Jane Whitt Sellers, Partner
Janie provided a follow up to our November 2014 presentation on the 2015 annual meeting and annual reporting season, including recent case law developments involving shareholder proposals and private ordering for proxy access.

Moderated by David L. Ronn, Partner, McGuireWoods LLP