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Publications
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10.02.2023Securities Enforcement Forum Central 2023—Enforcement Trends Throughout the SEC 2023 Fiscal YearUpdatesSenior Division of Enforcement officials from various U.S. Securities and Exchange Commission offices spoke with SEC alumni, private practitioners, and other legal professionals at the Securities Enforcement Forum Central 2023 in Chicago, Illinois, on September 19, 2023.
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06.01.2023Securities Enforcement Forum West 2023: SEC Stresses Cooperation, Self-Policing, and Self-ReportingUpdatesSenior Division of Enforcement officials from the U.S. Securities and Exchange Commission shared the stage on May 23, 2023, with SEC alumni, private practitioners, and other professionals in the field at the Securities Enforcement Forum West 2023.
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09.22.2022SEC's 'Regulation By Enforcement' Vision Coming Into FocusArticles
Law360
At the Practicing Law Institute's SEC Speaks conference, held Sept. 8 – 9 in Washington, D.C., the U.S. Securities and Exchange Commission leadership espoused an ambitious agenda for both rulemaking and enforcement in 2022 and beyond. -
09.13.2022The SEC Speaks in 2022: Five Key TakeawaysUpdates
The annual SEC Speaks conference, in which SEC leadership highlights the agency’s current enforcement priorities and previews their agenda for the coming year, was held in Washington, D.C., on September 8-9. SEC leaders emphasized that regulation of the cryptocurrency market continues to be a top enforcement priority.
As discussed in this Update, the SEC’s enforcement agenda has ramifications on both the corporate and individual levels, including: (1) increased regulatory actions against market participants in cryptocurrency and blockchain-based token activities; (2) enhanced scrutiny over disclosures, including those related to digital assets, ESG matters, supply chain, and cyber incidents; and (3) a renewed focus on individual accountability.
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04.12.2019SEC Touts Successes in Wake of ShutdownUpdatesAt this year’s PLI “SEC Speaks” conference held April 8-9, 2019, in Washington, D.C., the U.S. Securities and Exchange Commission’s leadership and staff showcased its 2018 successes and outlined initiatives that the SEC intends to pursue in 2019 and beyond.
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02.23.20152015 SEC Speaks Conference: SEC to Balance Broad Enforcement Agenda and Initiatives with Focus on Core MissionUpdatesThe U.S. Securities and Exchange Commission (SEC) touted an expansive regulatory agenda at this year’s “SEC Speaks” conference, held February 20-21, 2015, in Washington, D.C.
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05.21.2014Mexico's Growing Focus on Combating CorruptionUpdatesMore than 100 members of the Mexican legal and business communities gathered in Mexico City on March 25 and 26, 2014 to attend the American Conference Institute’s First Annual Mexico Summit on Anti-Corruption.
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02.24.2014SEC Is Ready To Move From Rulemaking To Rule EnforcementArticles
Law360
In this article, Pravin Rao, Jose A. Lopez, Travis Exstrom and Jalina Joy Hudson highlighted the SEC's enforcement priorities in 2014, as presented at "The SEC Speaks" conference held in Washington, DC, from February 21-22, 2014. -
02.24.2014The SEC Speaks in 2014: Enhanced Statutory Regime Combined with Data Analytics Tools Results in Enforcement 2.0UpdatesThe annual “SEC Speaks Conference,” where the U.S. Securities and Exchange Commission (SEC) and its senior staff review the major developments from the prior year, and preview the SEC’s enforcement priorities for the upcoming year, convened in Washington D.C. on February 21-22, 2014.
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02.13.2014Chicago Enforcement Officials Discuss 2014 SEC & DOJ Priorities: New Regime at SEC Takes a Page From the Prosecutors’ PlaybookUpdatesEnforcement officials from the U.S. SEC’s Chicago Regional Office and the U.S. Attorney’s Office for the Northern District of Illinois gathered to discuss their enforcement initiatives at the “SEC & DOJ Hot Topics 2014” program on February 11, 2014. Local regulators reinforced the theme that in 2014, the SEC will continue to adopt enforcement tools that historically have been used by their counterparts in criminal law enforcement.
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03.2013Highlights From The SEC Speaks ConferenceArticles
Law360
In this article, Pravin Rao, Keith Miller, Jose Lopez, and Charles Mulaney highlighted the SEC's enforcement priorities in 2013, as presented at "The SEC Speaks" conference held in Washington, DC, from February 22-23, 2013. A continuation by the SEC to accelerate its efforts to protect investors and promote the integrity of the marketplace emerged from this year’s conference. At the heart of these efforts are increasingly effective programs in enforcement and examination. -
02.25.2013SEC Speaks: Agency Takes Back-to-Basics Approach in Face of Changing Leadership, Congressional Mandates and New TechnologiesUpdatesThe annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A back-to-basics “investor protection” theme emerged from this year’s conference, as the SEC reposts in the wake of Chairman Mary Schapiro and Enforcement Director Robert Khuzami departing.
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03.2012The SEC Speaks 2012: EnforcementArticlesIn this article, Pravin Rao, Jose Lopez, Jon Buck and Caryn Trombino highlight the SEC's enforcement priorities in 2012, as presented at "The SEC Speaks" conference held in Washington, DC, from February 24-25, 2012. The SEC's record 735 enforcement actions in 2011 has prompted a renewed rallying cry as the agency emerges from its Dodd-Frank rulemaking efforts with an eye toward ratcheting up its proactive risk-based initiatives and continued pursuit of aggressive enforcement efforts.
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02.28.2012The SEC Speaks 2012: An Evolving SEC Reloads Following 2011’s Record Enforcement ActionsUpdatesOn February 24-25, 2012, the U.S. Securities and Exchange Commission ("SEC") and its senior staff presented at the annual "SEC Speaks" conference to comment on major trends from the previous year and to forecast anticipated developments for 2012.
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01.27.2012SEC Warns Investment Advisers About Social Media UseUpdatesJust as more professionals have started taking advantage of social media to develop and grow their business, the financial services industry is following suit. However, given the highly regulated nature of this industry, financial services professionals must be aware of special regulatory considerations when utilizing social networking tools.
Presentations
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08.24.2021SEC Enforcement UpdateSpeaking EngagementsPanelist
CPE – An Accounting and Reporting Update for Public Companies / Webinar -
06.17.2019Concluding the Internal InvestigationSpeaking EngagementsPanelist
PLI - Internal Investigations 2019 -
06.15.2016When the SEC Comes Knocking: Effectively Responding to SEC InquiriesSeminarsPerkins Coie Breakfast Briefing Series / Boise, IDWhether public or private, your company is at risk for being subpoenaed and investigated by the SEC. Please join Perkins Coie Partners, Jose Lopez, a former enforcement attorney with the U.S. Securities and Exchange Commission - Midwest Regional Office, and Sean Prosser, a former enforcement attorney with the U.S. Securities and Exchange Commission - Pacific Regional Office
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04.22.2014CLE: Spotlight on Compliance Risks in Latin AmericaSpeaking Engagements
