SEC Compliance and Disclosure Update

April 19, 2016

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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SEC focus on non-GAAP financial measures
Richard W. Viola, Partner
Rick discussed recent statements by SEC Chair Mary Jo White and SEC Chief Accountant James Schnurr concerning the preparation and use of non-GAAP financial measures.

“Personal benefits” and insider trading post-N ewman
Tristan Freeman, Associate
Tristan discussed the recent Securities and Exchange Commission v. Payton et allitigation, the earlier United States v. Newman case, and their implications for insider trading law.

Transfer agent update
John B. Hoke, Associate
John discussed the SEC’s advanced notice of proposed rulemaking release in December of 2015 which addresses newly proposed rules governing transfer agents.

T+2 settlement
Jillian F. Nyhof, Associate
Jill discussed the recent push to shorten offering settlement dates from T+3 to T+2 and the practical implications this shift would have for offerings.

The program was moderated by Stephen Older, Partner.