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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement Division: “Business as Usual” as Securities Enforcement Leaders Gather Virtually for Securities Enforcement Forum West 2020
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 […]
Panelists Discuss Their “One Big Thing” for Securities Enforcement Forum West 2020
Securities Enforcement Forum West 2020 panelists offer their “One Big Thing” to take away from this year’s event.
Enforcement Co-Director Peikin touts self-reporting, creative remedies at Securities Docket conference
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 […]
Dispatches from Securities Enforcement Forum 2019 – Radical Compliance
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 […]
Cryptocurrencies, ICOs, and blockchain technology get multi-pronged attention at SEC Speaks 2018 | Eversheds Sutherland
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 […]
SEC’s Top 3 Enforcement Priorities — Think Advisor
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
Highlights from Securities Enforcement Forum West 2017
Photos and highlights from Securities Enforcement Forum West 2017.
Uncertainty Looms Over SEC Enforcement Staff – White Collar Briefly
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 […]
Highlights from Securities Enforcement Forum West 2016
Photos and highlights from Securities Enforcement Forum West 2016.
Photos and Highlights from Securities Enforcement Forum West 2015
Photos and highlights from Securities Enforcement Forum West 2015.