Securities Regulation and Enforcement Series: Shifting Tides: SEC Leadership, Crypto Policy, and FINRA's Regulatory Refresh
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Securities Regulation and Enforcement Series: Shifting Tides: SEC Leadership, Crypto Policy, and FINRA's Regulatory Refresh
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このコンテンツについて
In the fifth episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association continue to discuss SEC Chair Paul Atkins’ key priorities now that he has begun his term. Valerie and William discuss key SEC developments focusing on the recent Crypto Task Force Roundtables, public company disclosure priorities and current targeted reorganization developments occurring at the SEC. Valerie and William also discuss recent FINRA developments, including FINRA’s modernization rule proposals and outside business activity rule proposal, as well as FINRA’s May 8, 2025 Statement entitled SEC Off-Channel Communications Settlements – SRO Collateral Consequences. Whether you’re a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape.
Past episodes of this series:
Episode 1 (5/22/24) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Investor-Protection-in-2024-e2je2a6]
Episode 2 (6/5/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-All-Things-Standards-of-Care-in-2024-e2k8u2m/a-abahg6m]
Episode 3 (7/24/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Developments-in-Insider-Trading-e2lk443/a-abdiehh]
Episode 4 (8/21/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-The-SEC-Private-Funds-Rule--the-Fifth-Circuit-Decision-and-SEC-Rulemaking-Authority-e2mucdm]
Episode 5 (9/11/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Fireside-Chat-with-SEC-Investor-Advocate-Cristina-Martin-Firvida-e2o23db/a-abguokt]
Episode 6 (10/23/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Off-Channel-Communications--A-State-of-the-Union-e2pqi6c/a-abj83g8]
Episode 7 (12/4/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Impact-of-2025-Presidential-Transition-on-the-SEC-e2r7ivg]