Senior Division of Enforcement officials from the U.S. Securities and Exchange Commission (SEC) spoke with SEC alumni, private practitioners, and other professionals in the field at the Securities Enforcement Forum West 2024...more
Senior Division of Enforcement officials from various U.S. Securities and Exchange Commission (SEC) offices spoke with SEC alumni, private practitioners, and other legal professionals at the Securities Enforcement Forum...more
Senior Division of Enforcement officials from the U.S. Securities and Exchange Commission (SEC) shared the stage on May 23, 2023, with SEC alumni, private practitioners, and other professionals in the field at Securities...more
At the Practicing Law Institute’s annual SEC Speaks conference, U.S. Securities and Exchange Commission (SEC) leadership highlighted the agency’s current enforcement priorities and previewed its agenda for the year to come...more
At this year’s PLI “SEC Speaks” conference held April 8-9, 2019, in Washington, D.C., the U.S. Securities and Exchange Commission’s leadership and staff showcased its 2018 successes and outlined initiatives that the SEC...more
4/15/2019
/ Cross-Border Transactions ,
Cryptocurrency ,
Data Protection ,
Disgorgement ,
Enforcement Actions ,
Kokesh v SEC ,
Lorenzo v SEC ,
PSLRA ,
Retail Investors ,
Rule 10b-5 ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Unfair or Deceptive Trade Practices ,
US v Newman
The U.S. Securities and Exchange Commission (SEC) touted an expansive regulatory agenda at this year’s “SEC Speaks” conference, held February 20-21, 2015, in Washington, D.C. At this year’s Speaks, SEC representatives...more
First Annual Mexico Summit on Anti-Corruption -
More than 100 members of the Mexican legal and business communities gathered in Mexico City on March 25 and 26, 2014 to attend the American Conference Institute’s First...more
The annual “SEC Speaks Conference,” where the U.S. Securities and Exchange Commission (SEC) and its senior staff review the major developments from the prior year, and preview the SEC’s enforcement priorities for the upcoming...more
Enforcement officials from the U.S. SEC’s Chicago Regional Office and the U.S. Attorney’s Office for the Northern District of Illinois gathered to discuss their enforcement initiatives at the “SEC & DOJ Hot Topics 2014”...more
The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more
2/25/2013
/ CFTC ,
Citigroup ,
Crowdfunding ,
Dodd-Frank ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
FSOC ,
Funding Portal ,
Insider Trading ,
Investor Protection ,
JOBS Act ,
Mary Jo White ,
Securities and Exchange Commission (SEC) ,
Whistleblowers