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 Central 2023 (the Forum) in Chicago, Illinois, on September 19, 2023. In anticipation of the SEC’s 2022 fiscal year-end on September 30, panelists discussed emerging trends in SEC enforcement investigations and actions over the past year. Specifically, Regional Directors highlighted assistance provided by whistleblowers in carrying out the SEC’s oversight mission and emphasized the need to protect “main street” investors through gatekeeping and crypto enforcement actions. In addition, the Staff discussed other popular enforcement topics, including cybersecurity, financial disclosures, and insider trading.
‘Enforcement 40’ for 2020
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