Searching Content indexed under Securities by McGuireWoods LLP ordered by Published Date Descending.
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SEC Enforcement Chief Andrew Ceresney Discusses CCO Liability
Consistent with prior statements by the SEC staff, Mr. Ceresney outlined the three areas where the Enforcement Division generally brings cases against CCOs.
United States
23 Dec 2015
A Guide To Regulation A+
Significant changes to Regulation A, generally referred to as Regulation A+, went into effect on June 19, 2015.
United States
21 Dec 2015
Just Admit It – SEC Requiring Admissions With Increased Frequency
In 2012 and 2013 the Securities and Exchange Commission changed its longstanding policy of permitting defendants to settle enforcement actions without admitting or denying liability.
United States
9 Dec 2015
Avoiding Relationship Drama In Capital Raising: SEC Staff Issues New Guidance On General Solicitation
On August 6, 2015, the Securities and Exchange Commission (SEC) staff issued important guidance concerning general solicitation and general advertising (collectively, general solicitation)...
United States
16 Nov 2015
FY2015 SEC Enforcement Report
What is notable is the increase in the types of actions pursued by the SEC, described as "first-of-their-kind" cases.
United States
4 Nov 2015
SEC ‘Broken Windows' Enforcement Policy Is Showing FCPA Results
In October 2013, SEC Chairwoman Mary Jo White announced a broken windows enforcement policy to "pursue even the smallest infractions" of U.S. securities laws, including the FCPA, as a means of deterrence.
United States
13 Oct 2015
SEC Proposes To Amend Rules Governing Administrative Proceedings
On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings.
United States
2 Oct 2015
Through The Wire: SEC Turns Its Sights On Insider Trading, Hacking And Data Thievery
There once existed a time when a crew of skydiving surfers could throw on surprisingly well crafted ex-president masks, stroll into a cash-heavy bank and rob the institution blind.
United States
30 Sep 2015
SEC's OCIE Issues A Second Cybersecurity Risk Alert
On Sept. 15, 2015, the Securities Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published its second cybersecurity risk alert (the "2015 Risk Alert").
United States
30 Sep 2015
SEC's OCIE Issues A Second Cybersecurity Risk Alert
The 2014 Risk Alert provided a broad list of documents that OCIE may request for its cybersecurity examinations.
United States
29 Sep 2015
Fraud Means A "Fairer" Price
On August 27, 2015 the Delaware Court of Chancery issued a post-trial decision, In re Dole Food Company, Inc. Stockholder Litigation, that held two of Dole's directors, David Murdock and Michael Carter, personally liable...
United States
23 Sep 2015
Venture Capital Coast To Coast – August 2015
Venture capital activity for 2014 was a hard act to follow. But 2015 has not disappointed so far, with fundraising and investment continuing at an historic pace.
United States
3 Sep 2015
SEC Finalizes CEO Pay Ratio Rules
As noted in this McGuireWoods alert, the SEC recently finalized the CEO pay ratio disclosure requirements under Section 953(b) of the Dodd Frank Act.
United States
17 Aug 2015
SEC's Whistleblower Program Awards Over $3 Million To Company Insider
On Friday, July 17, the Securities and Exchange Commission (SEC) announced that it will award more than $3 million to a company insider who helped the SEC "crack a complex fraud."
United States
24 Jul 2015
Broker-Dealer Audits: PCAOB Disciplinary Orders And Extraordinary Cooperation Credit
Securities and Exchange Commission (SEC) rules, specifically Exchange Act Rule 17a-5, require broker-dealer audits to be conducted in accordance with PCAOB standards.
United States
20 Jul 2015
SEC Proposes Broadened Executive Compensation "Clawback" Rules
On July 1, the SEC proposed rules requiring national security exchanges (such as NYSE and Nasdaq) to establish listing standards requiring publicly traded companies to adopt, comply with and disclose written clawback policies.
United States
7 Jul 2015
SEC Considers Updating The Accredited Investor Definition
The accredited investor (AI) definition is an extremely important component of the private placement market.
United States
25 Jun 2015
Venture Capital Coast To Coast – June 2015
As we reported in January 2015, 2014 was a banner year for venture capital on all fronts, from fundraising, to investment and exits...
United States
25 Jun 2015
Fitbit IPO Cyber Risk Disclosures
Earlier this month, fitness-tracking company Fitbit, Inc. filed a Form S-1 Registration Statement for an IPO of up to $100 million that exhaustively disclosed potential cybersecurity risks with respect to the personal data the company collects.
United States
2 Jun 2015
Law Enforcement Bliss: The SEC As Policeman, Judge And Jury
New York's Southern District Court Judge Jed Rakoff is always worth listening to.
United States
19 May 2015
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