Edward Tran’s Post

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

At tomorrow morning's Senate Appropriations Committee hearing, U.S. Securities and Exchange Commission Chair Gary Gensler will appear before the committee to discuss the agency's funding. Over the last five years, the number of regulated entities subject to SEC oversight has increased significantly, but the agency’s funding has failed to keep pace. The #SEC has only a few hundred more full-time employees than it did five years ago, yet the number of regulated entities that it oversees has increased from 28,000 to 33,000. To continue overseeing the growing and ever-more complex markets, and to address numerous longstanding problems, the SEC must have additional resources at its disposal.  Learn more in our new fact sheet: https://bit.ly/4eiz9to

The SEC is making waves this fiscal year, setting a record pace with 200 enforcement actions in Q1 alone—the highest since at least 2000. Highlights include: ▪️ 118 standalone cases ▪️ A focus on financial misstatements, conflicts of interest, and even AI-related misleading statements. The SEC is doubling down on its commitment to market integrity and investor protection, signaling to wrongdoers that accountability is non-negotiable. Read more about the agency’s bold start and its emphasis on fostering a culture of compliance: https://bit.ly/40MTBxL #SECEnforcement #InvestorProtection #FinancialCompliance #AIRegulation

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

How will the SEC level violations through the marketing rule? Kevin Neubauer explored how, in this exclusive conversation for Private Funds CFO Network members. See the whole discussion and get your questions answered: https://okt.to/NtwSJi