SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar
Overview
SEC enforcement priorities and regulatory strategies continue to evolve as leadership changes, organizational restructuring, and shifting policy objectives reshape the enforcement landscape. This course provides a practical update on recent SEC enforcement developments, organizational changes, leadership priorities, cooperation expectations, and emerging procedural developments affecting investigations and regulatory interactions. Participants will learn:
- Recent SEC enforcement developments, leadership changes, and policy shifts affecting the regulatory environment
- Current enforcement priorities, organizational changes, and emerging procedural trends
- Practical strategies and best practices for engaging with regulators and managing enforcement-related risk
Objective
To provide CPAs and other finance and compliance professionals with a practical update on current SEC enforcement developments, enabling them to better understand evolving regulatory priorities, assess enforcement risk, and prepare for effective engagement with government agencies and regulators.
Emphasis
- Looking back: what happened in 2025 and early 2026?
– New leadership
– “Back to basics” policy reset
– Enforcement priorities and results
– Voluntary case dismissals - The current state:
– Noteworthy organizational changes
– Enforcement policy trends and priorities
– Noteworthy process changes - The road ahead: what’s next?
- Individual accountability and cooperation considerations
- How to prepare:
– Best practices for engaging with the government
Speakers
Nekia S. Hackworth, Partner, Jones Day
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