Securities Enforcement Developments and the Tools to Face Them

Date / Time

Venue

This is a virtual event, accessible on-line and over phone. Access instructions will be provided after registration.

Description

The U.S. Securities and Exchange Commission has received a good deal of press recently because of a U.S. Supreme Court decision, Lucia v. SEC, which decided the way in which the SEC administrative law judges are hired is unconstitutional. Additionally, the Supreme Court granted cert to hear another securities enforcement case. The second case, Lorenzo, is interesting because Judge Brett Kavanaugh, the president’s choice to fill the high court seat of retired Associate Justice Anthony Kennedy, sat on the panel that heard the previous review of Frank Lorenzo’s case and wrote a dissent from the majority holding. 

During this presentation, Peter Rasmussen, Senior Legal Editor at Bloomberg Law®, and Susan Bokermann, Assistant Managing Editor at Bloomberg Law®, will bring you up-to-date on the SEC’s recent enforcement actions. Peter will walk you through the latest developments at the U.S. Supreme Court, including the recent decision in the Lucia case, as well as the issues being heard in the Lorenzo case, and the potential impacts of both on securities enforcement. Susan will show you how to use the latest technology from Bloomberg Law—SEC ALJ Enforcement Analytics—to track decisions and understand what kind of conduct the SEC is looking for right now. She’ll show you what resources are available to help you understand the ramifications of enforcement developments and guide you through the process of enhancing and operating a compliance program in light of recent developments.

Educational Objectives:
● Find out about the latest securities enforcement developments and trends and what they may mean for the future of SEC enforcement.
● Understand how tracking enforcement actions can help attorneys ensure their compliance programs are effective.
● Learn how to use SEC ALJ Enforcement Analytics to develop a strategies and mitigate liability when handling SEC enforcement actions.

Who would benefit most from attending this program?
Legal practitioners working in the securities and litigation fields and compliance and risk professionals working in public companies.

Presenters

N. Peter Rasmussen
  • Senior Legal Editor
  • Bloomberg Law

N. Peter Rasmussen is a Senior Legal Editor with Bloomberg Law, concentrating on corporate transactions and federal securities law. He holds a B.A. from DePauw University, a master’s degree in history from the University of Illinois at Chicago, and a J.D. from the University of Illinois College of Law.

Susan Bokermann
  • Assistant Managing Editor
  • Bloomberg Law

Susan Bokermann is an Assistant Managing Editor at Bloomberg Law, concentrating on corporate governance and federal securities enforcement. She holds a B.A. from Georgetown University and a J.D. from American University Washington College of Law.

Continuing Education

Credits:
1.0 CLE; General COA
Prerequisite:
A general knowledge of the securities field.
Level:
Intermediate
Production Date:
09/19/2018