Key Takeaways -
- A return to traditional enforcement priorities is likely forthcoming under the new administration, with a shift away from creative and aggressive enforcement toward more “bread and butter” matters.
-...more
Senior Division of Enforcement officials from the U.S. Securities and Exchange Commission (SEC) spoke with SEC alumni, private practitioners, and other professionals at the Securities Enforcement Forum Central 2024 (the...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
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