The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview
Journal of Investment Compliance
Article publication date: 25 September 2018
Issue publication date: 9 October 2018
This paper aims to highlight certain comments made by US Securities and Exchange Commission (SEC) officials, which may provide insight into compliance and enforcement issues that may be important for market participants, including broker-dealers, investment advisors and reporting companies, in the future.
This paper explains comments made by SEC officials and highlights potential regulatory issues based on past experiences of attorneys within the firm, past comments made by the SEC and Financial Industry Regulatory Authority and past regulatory exam results.
This paper summarizes remarks from the recent SEC Speaks 2018 Conference conducted by SEC officials related to the Commission’s regulatory and enforcement priorities. Issuers, brokers, advisors and other financial organizations should familiarize themselves with the themes and guidance discussed at the Conference to prepare for regulatory compliance challenges in the upcoming year.
Practical guidance from experienced securities and financial services lawyers.
The authors thank William Hochul III and Andrew J. Sioson, both Associates at Sidley Austin LLP, for their assistance in writing this paper.
Russelo, G.J., Cohen, S.L. and Sanchez, J.F. (2018), "The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview", Journal of Investment Compliance, Vol. 19 No. 3, pp. 1-4. https://doi.org/10.1108/JOIC-04-2018-0025
Emerald Publishing Limited
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