Berkeley Research Group (BRG)’s Post

Why is the SEC unable to enforce many of its judgments? Jan Folena, co-chair of Stradley Ronon’s securities enforcement practice, spoke to The Wall Street Journal about the cases where the SEC often cannot collect. https://bit.ly/4fL9BEF

Vedder Price is proud to sponsor the Securities Enforcement Forum Central 2024 on Tuesday, September 24th at the Ritz-Carlton Chicago, hosted by Securities Docket. Rachel Copenhaver, a Shareholder in the Government Investigations & White Collar Defense practice group, will join an esteemed panel in the session titled “Masterclass – Managing a True Corporate Crisis/Major Internal Investigation.” Follow the link below to find out how you can attend this unique conference that highlights the most important issues facing attorneys and professionals in the securities enforcement field. #GovernmentInvestigations #WhiteCollarDefense #SecuritiesEnforcement #InternalInvestigations #RegulationandEnforcementTrends

While the U.S. Securities and Exchange Commission (SEC) pursues an aggressive enforcement agenda, the agency has suffered some notable defeats in the courts, and the upcoming change in administration may result in a shift in enforcement focus. Join Gibson Dunn partners Mark Schonfeld (New York) and David Woodcock (Dallas and Washington, D.C.), Co-Chairs of our Securities Enforcement Practice Group, and New York partner Tina Samanta as they address the implications of recent court decisions and the latest trends in SEC enforcement, discuss strategies for mitigating the risk of investigations and enforcement actions, and look ahead to 2025 and beyond. https://lnkd.in/gAGSRa3x

Last week, the SEC fined 12 registered broker-dealers and investment advisers for violating off-channel communications regulations in its ongoing enforcement initiative. Our attorneys look at what led to the settlements and possible next steps for financial services firms. Read more: https://lnkd.in/giJmEBFR

In this issue of FINRA Facts and Trends, we discuss new FINRA arbitration statistics, a key ruling that restricts who may be deemed a "customer" under the FINRA rules, and the settlement of FINRA's first formal disciplinary action involving a firm's supervision of so-called "FinFluencers."

With the new administration, securities professionals are eyeing potential shifts in the regulatory landscape. SEC Chairman Gary Gensler's upcoming departure and a new leader for the SEC Division of Enforcement signal possible changes. Under President-Elect Trump, a more business-friendly SEC, especially for digital assets, is anticipated. Recent rulings, like the vacating of the "Dealer Rule," suggest more regulations may be reconsidered. While it's early to predict the new administration's priorities, there's hope for a reduction in high financial penalties and regulation-by-enforcement. For more - https://bit.ly/496Ly1w #SEC #TrumpAdministration #RegulatoryChanges #BusinessFriendly

With the new administration, securities professionals are eyeing potential shifts in the regulatory landscape. SEC Chairman Gary Gensler's upcoming departure and a new leader for the SEC Division of Enforcement signal possible changes. Under President-Elect Trump, a more business-friendly SEC, especially for digital assets, is anticipated. Recent rulings, like the vacating of the "Dealer Rule," suggest more regulations may be reconsidered. While it's early to predict the new administration's priorities, there's hope for a reduction in high financial penalties and regulation-by-enforcement. For more - https://bit.ly/496Ly1w #SEC #TrumpAdministration #RegulatoryChanges #BusinessFriendly

With the new administration, securities professionals are eyeing potential shifts in the regulatory landscape. SEC Chairman Gary Gensler's upcoming departure and a new leader for the SEC Division of Enforcement signal possible changes. Under President-Elect Trump, a more business-friendly SEC, especially for digital assets, is anticipated. Recent rulings, like the vacating of the "Dealer Rule," suggest more regulations may be reconsidered. While it's early to predict the new administration's priorities, there's hope for a reduction in high financial penalties and regulation-by-enforcement. For more - https://bit.ly/496Ly1w #SEC #TrumpAdministration #RegulatoryChanges #BusinessFriendly

With the new administration, securities professionals are eyeing potential shifts in the regulatory landscape. SEC Chairman Gary Gensler's upcoming departure and a new leader for the SEC Division of Enforcement signal possible changes. Under President-Elect Trump, a more business-friendly SEC, especially for digital assets, is anticipated. Recent rulings, like the vacating of the "Dealer Rule," suggest more regulations may be reconsidered. While it's early to predict the new administration's priorities, there's hope for a reduction in high financial penalties and regulation-by-enforcement. For more - https://bit.ly/496Ly1w #SEC #TrumpAdministration #RegulatoryChanges #BusinessFriendly

With the new administration, securities professionals are eyeing potential shifts in the regulatory landscape. SEC Chairman Gary Gensler's upcoming departure and a new leader for the SEC Division of Enforcement signal possible changes. Under President-Elect Trump, a more business-friendly SEC, especially for digital assets, is anticipated. Recent rulings, like the vacating of the "Dealer Rule," suggest more regulations may be reconsidered. While it's early to predict the new administration's priorities, there's hope for a reduction in high financial penalties and regulation-by-enforcement. For more - https://bit.ly/496Ly1w #SEC #TrumpAdministration #RegulatoryChanges #BusinessFriendly