SEC Compliance and Disclosure Update

October 27, 2015

Complimentary Webinar Series

McGuireWoods’ SEC practice group held a discussion of securities law developments, as well as guidance on compliance matters.

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Dole – Personal Liability for Corporate Officers in a Going Private Transaction
Jeffrey L. Rothschild, Partner

In Dole, the Delaware Court of Chancery reiterated that when procedural safeguards are set up, but the substance of the safeguards is subverted, directors, officers and controlling stockholders can be subject to significant liability.

DOJ Targeting Individuals Involved in Corporate Crimes
Louis D. Greenstein, Partner and George J. Terwilliger III, Partner

Richard and George led a practical discussion of the implications of the “Yates Memo” and its impact on companies, individual executives and the legal interests of both.

SEC Guidance on General Solicitation in Private Offerings
Nova D. Harb, Partner

Nova explained recent SEC guidance on procedures for private offerings using on-line platforms, and the general solicitation issue in the context of angel groups and demo days.

NYSE Timely Alert Procedures
Elizabeth A. Hinshaw, Associate

Elizabeth discussed recent changes to the New York Stock Exchange’s timely alert procedures and what listed companies need to know before disseminating material news.

Moderated by Jill Misage Webb, Senior Counsel, McGuireWoods LLP