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

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.

• 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

Nekia S. Hackworth, Partner, Jones Day
 

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

• 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

Nekia S. Hackworth, Partner, Jones Day