Summary of selected sessions from “The SEC Speaks in 2013”

Brian L. Rubin (Partner at Sutherland Asbill & Brennan LLP, Washington, District of Columbia, USA)
Carmen L. Brun (Counsel at Sutherland Asbill & Brennan LLP, Washington, District of Columbia, USA)
Jaliya Stewart Faulkner (Associate at Sutherland Asbill & Brennan LLP, Atlanta, Georgia, USA)
Michael K. Freedman (Associate at Sutherland Asbill & Brennan LLP, Atlanta, Georgia, USA)
Kurt Lentz (Associate at Sutherland Asbill & Brennan LLP, Atlanta, Georgia, USA)
Jae C. Yoon (Associate at Sutherland Asbill & Brennan LLP, Washington, District of Columbia, USA)

Journal of Investment Compliance

ISSN: 1528-5812

Publication date: 28 June 2013

Abstract

Purpose

The purpose of this paper us to summarize the remarks of the Commissioners and participants in several panel sessions and workshops during the 2013 annual “SEC Speaks” conference held by the Practising Law Institute in cooperation with the US Securities and Exchange Commission, discussing the SEC's accomplishments in 2012 and its agenda for 2013.

Design/methodology/approach

The paper summarizes remarks by Chairman Walter and Commissioners Aguilar, Paredes, and Gallagher; provides highlights from panel sessions and workshops concerning the Division of Corporation Finance, the Division of Trading and Markets, the Division of Enforcement, the Division of Investment Management, the Office of Compliance Inspections and Examinations as well as highlights from the panel sessions relating to Accounting, Risk, Strategy and Financial Innovation. Judicial and Legislative Developments, and Ethics.

Findings

The summaries provide an overview of the SEC's most important current rulemaking, projects and policy priorities.

Originality/value

The paper presents current SEC issues and developments addressed by experienced SEC lawyers.

Keywords

Citation

Rubin, B., Brun, C., Stewart Faulkner, J., Freedman, M., Lentz, K. and Yoon, J. (2013), "Summary of selected sessions from “The SEC Speaks in 2013”", Journal of Investment Compliance, Vol. 14 No. 2, pp. 5-20. https://doi.org/10.1108/JOIC-05-2013-0018

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Publisher

:

Emerald Group Publishing Limited

Copyright © 2013, Emerald Group Publishing Limited

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