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"SEC Enforcement: Priorities and Trends"

Wednesday, November 15, 2023

2:00 - 3:00 pm, eastern [archive and transcript to follow]

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Course Materials:

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.

Joining us are:

  • Scott Kimpel, Partner, Hunton Andrews Kurth LLP
  • Allison O'Neil, Partner, Locke Lord LLP
  • Kurt Wolfe, Of Counsel, Quinn Emanuel Urquhart & Sullivan, LLP

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

Cost: Members of this site are able to attend this critical webcast at no charge. If you're not yet a member, subscribe now. The webcast cost for non-members is $595. You can sign up by credit card online. If you need assistance, send us an email at - or call us at 800.737.1271.

Continuing Legal Education: We will apply for CLE credit in all applicable states (with the exception of SC and NE who require advance notice) for this 1-hour webcast. You must submit your state and license number prior to or during the program. Attendees must participate in the live webcast and fully complete all the CLE credit survey links during the program. You will receive a CLE certificate from our CLE provider when your state issues approval; typically within 30 days of the webcast. All credits are pending state approval.

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What you can do if you can't access the live program: If you have a scheduling conflict or have problems accessing webcasts generally (due to firewalls, etc.), an audio archive of the webcast will be posted a few hours after the program - and a text transcript of the program will be posted on about two weeks after the live webcast.