Highlights from SEC Speaks 2022—Chair/Commissioner Remarks and Litigation and Enforcement Trends
The U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) held its annual SEC Speaks conference—in person for the first time since the beginning of the COVID-19 pandemic—on September 8 and 9, 2022 in Washington, D.C. The conference featured remarks from Chair Gary Gensler, Commissioner Mark Uyeda, and Director of the Division of Enforcement Gurbir Grewal, and discussions regarding current enforcement initiatives and enforcement priorities for the upcoming year and an update on litigation, judicial, and legislative developments.
Highlights from this year’s conference included significant discussion of crypto-related enforcement trends and priorities, use of Section 304 of the Sarbanes-Oxley Act of 2002 (“SOX 304”) against non-culpable CEOs and CFOs, equitable officer and director bars against individuals not actually serving as officers and directors, and enforcement developments related to Regulation Best Interest (“Reg BI”).
Vedder Thinking | Articles Highlights from SEC Speaks 2022—Chair/Commissioner Remarks and Litigation and Enforcement Trends
September 13, 2022
The U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) held its annual SEC Speaks conference—in person for the first time since the beginning of the COVID-19 pandemic—on September 8 and 9, 2022 in Washington, D.C. The conference featured remarks from Chair Gary Gensler, Commissioner Mark Uyeda, and Director of the Division of Enforcement Gurbir Grewal, and discussions regarding current enforcement initiatives and enforcement priorities for the upcoming year and an update on litigation, judicial, and legislative developments.
Highlights from this year’s conference included significant discussion of crypto-related enforcement trends and priorities, use of Section 304 of the Sarbanes-Oxley Act of 2002 (“SOX 304”) against non-culpable CEOs and CFOs, equitable officer and director bars against individuals not actually serving as officers and directors, and enforcement developments related to Regulation Best Interest (“Reg BI”).
