SEC Compliance and Disclosure Update

April 28, 2015

Complimentary Webinar Series

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

Event Materials

  • Presentation slides
  • SEC Release NO 33-9723


Regulation A+
Katherine K. DeLuca, Associate
Katie will provide an update on newly adopted rules by the SEC regarding Regulation A+.

Recent SEC Guidance Regarding Abbreviated Debt Tender Offers
Julianna Lowe French, Partner
Julianna will discuss the SEC’s recent no-action letter regarding abbreviated tender or exchange offers for non-convertible debt securities.

Disclosure of Hedging by Employees
Taylor Wedge French, Partner
John S. Servidio, Partner
Taylor and John will discuss the SEC’s proposed rules to require additional didsclosure of hedgiing transactions by employees, officers and directors.

Sections 13 and 16 Disclosures
David S. Wolpa, Associate
David will discuss SEC enforcement action regarding Sections 13 and 16 disclosures in connection with going-private transactions.

Moderated by Rachel Williams Mantz, Partner, McGuireWoods LLP