SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
President Biden Proposes Budget Boost for SEC to Support Enforcement
President Biden’s 2023 budget provides an additional 7.5 percent for the SEC.
March 29, 2022
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers
SEC Acting Chair Allison Herren Lee has reversed a practice that has allowed the SEC’s Division of Enforcement to recommend a settlement offer to the SEC that is conditioned on granting a waiver from a disqualification provision under the federal securities laws.
February 17, 2021
SEC Acting Chair Boosts Enforcement Division Powers
Acting Chair Allison Herren Lee has restored authority to senior Division of Enforcement officers to initiate formal investigations – authority they had been stripped of by the Trump Administration.
February 11, 2021
Statistics Point to Record-Setting Year for SEC
SEC Chairman Jay Clayton provided an update on the SEC’s results for the 2020 fiscal year during this year’s virtual SEC Speaks conference.
October 15, 2020
Supreme Court Rules Both For – and Against – SEC on Disgorgement Question
In an important case for the SEC’s enforcement powers, the Supreme Court has affirmed the SEC’s ability to impose a disgorgement award as an equitable remedy – but at the same time has limited that equitable award to the amount of the wrongdoer’s net profits.
June 22, 2020
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