New Rules, New Priorities, New Procedures...The New SEC

Registration and Breakfast: 7:45 - 8:00 am
Program:  8:00 - 9:30 am
Complimentary breakfast will be provided.

The SEC's Inspector General recently released two reports detailing systemic failures in the SEC's Enforcement and Examination divisions. The Inspector General provided recommendations that will dramatically alter how the SEC conducts examinations and investigations. The SEC's new Enforcement Director is reorganizing his staff to provide more front-line investigators with enhanced authority to aggressively pursue potential violations of the federal securities laws. There have also been radical changes to how the SEC will evaluate and reward cooperation with investigations and negotiate settlements.

Please join Bracewell and Giuliani partners for a discussion led by our former SEC Enforcement attorneys on the new face of SEC investigations, settlements, and enforcement actions.

Credit Information
1.50 MCLE participatory hours pending for the State Bar of Texas.
1.50 MCLE participatory hours approved for the State Bar of New York.

Questions? Please contact Alisa Tristan at alisa.tristan@bgllp.com or 713.221.1279.