Seminar/CLE
The Real Deal Webinar Series: “Broken Window” Filings
Seminar/CLE
The Real Deal Webinar Series: “Broken Window” Filings
October 23, 2014
Winston & Strawn presented “‘Broken Window’ Filings: How to Avoid SEC Section 16 Problems for Officers, Directors and Public Companies,” as an installment of The Real Deal. This presentation was held on October 23, 2014 at 12:00-1:30 p.m. (Central). This webinar series addresses current trends, challenges, and legal topics pertinent to M&A and securities professionals.
In a novel mass enforcement action, the SEC recently announced heavy fines against 34 individuals and companies for violating stock transaction and ownership reporting rules. The SEC emphasized that it now is using sophisticated computer algorithms to find and prosecute even inadvertent violations. With this initiative, there is more reason than ever for compliance officers, in-house counsel, directors and officers to ensure they are doing all they can to stay out of the cross-hairs of future enforcement actions.
Winston & Strawn attorney James Smith presented this interactive webinar focused on what the rules are and how to avoid SEC Section 16 problems. The web conference addressed:
- Section 16 requirements and the SEC’s new enforcement initiative;
- How to get your company’s Section 16 compliance house in order–best practices for avoiding Section 16 problems;
- What the SEC mass enforcement action may mean for future late filings; and
- Special issues for compensation plans, Rule 10b5-1 plans and financial institutions.
Contact Winston & Strawn for more information about this event.
Clients and friends of the firm are invited to attend seminars and events. We reserve the right to limit attendance at any firm event.
NOTE: CLE credit is not available for listening to our pre-recorded eLunch or webinar briefings.