‘Enforcement 40’ for 2020
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By Securities Docket on May 19, 2020, 5:29 pm
Like most of the rest of the world, the speakers and attendees at Securities Enforcement Forum West 2020 last week had to adapt this year by trading in their microphones on the stage of a grand ballroom for an array of home offices and Zoom backgrounds. But the panels themselves, several of which have become […]
By Securities Docket on May 4, 2020, 11:36 am
Securities Enforcement Forum West 2020 panelists offer their “One Big Thing” to take away from this year’s event.
By Securities Docket on October 30, 2019, 10:53 am
Steve Peikin, co-director of the SEC’s Division of Enforcement, recently participated in a panel discussion at the Securities Docket 2019 Enforcement Forum. Peikin addressed recent Division initiatives, such as its Share Class Selection Disclosure Initiative, as well as the SEC’s approach to remedies and settlements. via Jim Hamilton’s World of Securities Regulation: Enforcement Co-Director Peikin […]
By Securities Docket on October 29, 2019, 5:05 pm
Several hundred securities enforcement professionals gathered in Washington on Wednesday for the 2019 Securities Enforcement Forum. Radical Compliance couldn’t be there in person, so we gathered a bundle of dispatches from social media to give a flavor of what was discussed. After all, when under SEC investigation, you want the experience to be as enjoyable […]
By Securities Docket on February 28, 2018, 10:01 am
Cryptocurrencies and initial coin offerings (ICOs) were a recurring area of focus in presentations by multiple divisions of the Securities and Exchange Commission at its annual “The SEC Speaks” conference in Washington, DC on February 23-24, 2018. While the SEC does not seem to have reached consensus yet on how to treat this new, rapidly […]
By Securities Docket on November 14, 2017, 1:35 pm
Retail investors, cybersecurity and financial fraud. Those are the three priorities for the SEC’s enforcement division, according to its co-director Stephanie Avakian. via SEC’s Top 3 Enforcement Priorities — Think Advisor
By Securities Docket on June 5, 2017, 1:48 pm
Photos and highlights from Securities Enforcement Forum West 2017.
By Securities Docket on January 30, 2017, 11:57 am
The air of uncertainty was palpable as current and former members of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement spoke at the Securities Regulation Institute’s 44th Annual Conference in Coronado, California earlier this week. Important questions went largely unanswered about the impact of the recent resignations of both SEC Chair Mary Jo […]
By Securities Docket on May 30, 2016, 7:38 pm
Photos and highlights from Securities Enforcement Forum West 2016.