SEC Enforcement: Priorities and Trends

November 15, 2023

Allison O'Neil participated in a webinar, "SEC Enforcement: Priorities and Trends," hosted by TheCorporateCounsel.net on November 15. 

The SEC's Division of Enforcement recently completed another active year, with several high-profile investigations, enforcement actions and settlements, and the agency's enforcement efforts show no sign of letting up in 2024. Corporate boards and management and their legal advisors need to stay up to date on the SEC's enforcement priorities and trends in the agency's enforcement efforts in order to ensure that they stay out of its crosshairs. Join our panel of experts as they share lessons learned from recent enforcement activities and insights into what the new year might hold.

Among other topics, the program will cover:

  • SEC enforcement activities in 2023 and priorities for 2024
  • Monetary and non-monetary penalties
  • Accounting and disclosure actions
  • Actions targeting gatekeepers
  • Whistleblower developments and trends
  • Self-reporting and cooperation credit
  • Coordination with DOJ Investigations

Learn more about TheCorporateCounsel.net webinar.