The SEC’s Division of Enforcement: An Update on Inner Workings and Recent Cases and News

Understanding how the SEC’s Division of Enforcement operates and knowing what is on its agenda is important for anyone involved in public companies or our capital markets. In this presentation, Rebecca Fike will share her insights gleaned over her decade in the Division of Enforcement into the SEC’s structure and inner workings. She will also highlight the most recent Commission activity, everything from the fiscal results of the Division of Enforcement to the Commissioner’s remarks, and the implications for corporate clients and those who advise them. 

The program will cover:  

• How investigations begin, the various stages, and essentials to consider when facing an SEC investigation (10 minutes)  
• An update on the 2022 year-end fiscal results from the Division of Enforcement and what they might signal for the fiscal year 2023 (5 minutes) 
• Highlights from the last 6 months of Division of Enforcement actions (15 minutes) 
• Reading the tea leaves: What the SEC’s Division of Enforcement is focusing on based on the Commissioner’s remarks and related rulemaking (10 minutes) 
• Meaningful takeaways from some of the less headline-grabbing actions (10 minutes) 
• What clients and counsel should remember as they plan for the year ahead, and what steps they can take today to be proactive in protecting themselves from Commission inquiry and action (10 minutes)

Program Level: Update

Prerequisites: None

Advanced Preparation: None 

Faculty:

Rebecca Fike

Vinson & Elkins LLP