The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview

Abstract

Purpose

This paper aims to highlight certain comments made by US Securities and Exchange Commission (SEC) officials, which may provide insight into compliance and enforcement issues that may be important for market participants, including broker-dealers, investment advisors and reporting companies, in the future.

Design/methodology/approach

This paper explains comments made by SEC officials and highlights potential regulatory issues based on past experiences of attorneys within the firm, past comments made by the SEC and Financial Industry Regulatory Authority and past regulatory exam results.

Findings

This paper summarizes remarks from the recent SEC Speaks 2018 Conference conducted by SEC officials related to the Commission’s regulatory and enforcement priorities. Issuers, brokers, advisors and other financial organizations should familiarize themselves with the themes and guidance discussed at the Conference to prepare for regulatory compliance challenges in the upcoming year.

Originality/value

Practical guidance from experienced securities and financial services lawyers.

Citation

Russelo, G.J., Cohen, S.L. and Sanchez, J.F. (2018), "The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview", Journal of Investment Compliance, Vol. 19 No. 3, pp. 1-4. https://doi.org/10.1108/JOIC-04-2018-0025