The Securities Enforcement Forum Central 2023 convened on September 19, 2023, in Chicago, Illinois. Valuable insights were shared during this assembly, particularly important for those interested in the evolving landscape of Securities and Exchange Commission (SEC) enforcement investigations and actions. Legal professionals, private practitioners, and SEC alumni, including Senior Division of Enforcement officials from various SEC offices, engaged in valuable dialogues about the trends observed throughout the SEC’s 2022 fiscal year.
The SEC’s fiscal year-end was looming on the horizon at the time of the Forum, scheduled for September 30, 2023. These crucial conversations among industry insiders served to shed light on upcoming transitions, enforcement initiatives, and regulatory obligations under the SEC’s jurisdiction. As the fiscal year-end approaches, understanding these trends will surely provide critical insights and shape strategy development among law firms and in-house counsels representing corporations engaged in securities transactions and litigation.
The information and insights gleaned from the Forum inspired a broad discussion, providing practitioners with the information necessary to guide corporations in their strategic decision-making processes. The knowledge imparted through this dialogue is expected to help corporate counsel and their law firms to navigate increasingly complex regulatory expectations.
For more details, please refer to the full report on the event shared by Perkins Coie on JD Supra.