SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them | CPE Online

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SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar

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Live Webinar

$69

CPE Credits: 1 Hour
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Overview
Objective
Emphasis
Speakers
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
 

Available Formats:

Live Webinar
Self-Study
Live Webinar

$69

CPE Credits: 1 Hour
View Dates

This course is included in the following subscriptions:

Valid Subscriptions:
Not available
Anytime Subscription
Self-Study Subscription
Combo Subscription
Evening/Weekend Subscription

Need more than one course? Upgrade to a subscription and save.

View Subscriptions
Prerequisite
None
Level of Knowledge
Update
CPE Credits
1 Hour
NASBA Field of Study
Accounting
CPE Subscriptions: A Better CPE Experience
  • Earn all your credits in one place--no more separate providers.  We're your one-stop-shop to complete your CPE requirements fast.
  • General & state-specific ethics courses are included at no additional cost.  (When we say in one place, we mean it!)
  • Convenience meets flexibility with CPE Subscription options that align with your schedule, no matter how busy you are. 

 

Learn More

SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Self-Study Webinar

share icon
Link Copied!

Available Formats:

Live Webinar
Self-Study
Self-Study

$69

CPE Credits: 2 Hours
Add To Cart
Overview
Objective
Emphasis
Speakers
Overview

SEC enforcement priorities and regulatory strategies continue to evolve as leadership changes, organizational restructuring, and shifting policy objectives reshape the enforcement landscape. This self-study webinar 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.

 

DETAILED LEARNING OBJECTIVES

• Identify Chairman Atkins’s core enforcement philosophy and its focus on traditional fraud and investor harm

• Recognize the SEC’s foundational mission of investor protection, fair markets, and capital formation

• Understand the current organizational structure of the SEC’s Division of Enforcement

• Differentiate between enforcement priorities under prior SEC leadership and current leadership

• Explain the purpose and focus of the SEC’s Cross-Border Task Force

• Describe the role of the SEC’s Examinations Division in supporting enforcement activities

• Identify recent SEC enforcement trends related to crypto-related litigation

• Understand enhanced transparency and information-sharing expectations in the Wells process

• Analyze trends in SEC enforcement activity levels in fiscal year 2025

• Recognize common characteristics of recent large-scale fraud enforcement actions

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

Available Formats:

Live Webinar
Self-Study
Self-Study

$69

CPE Credits: 2 Hours
Add To Cart

This course is included in the following subscriptions:

Valid Subscriptions:
Not available
Anytime Subscription
Self-Study Subscription
Combo Subscription
Evening/Weekend Subscription

Need more than one course? Upgrade to a subscription and save.

View Subscriptions
Prerequisite
None
Level of Knowledge
Update
CPE Credits
2 Hours
NASBA Field of Study
Accounting
CPE Subscriptions: A Better CPE Experience
  • Earn all your credits in one place--no more separate providers.  We're your one-stop-shop to complete your CPE requirements fast.
  • General & state-specific ethics courses are included at no additional cost.  (When we say in one place, we mean it!)
  • Convenience meets flexibility with CPE Subscription options that align with your schedule, no matter how busy you are. 

 

Learn More

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