Welcome to SEC Roundup, a bimonthly video collection by former Securities and Change Fee senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor Selection Advocates Community.
On this episode, Morgan and Zaccaro discuss to a nationwide panel of SEC consultants relating to the SEC’s annual enforcement report, which particulars the a whole bunch of circumstances introduced by the SEC enforcement division during the last yr.
On wide-ranging subjects together with the Advertising Rule, off-channel communications, whistleblowers, gatekeepers and disclosures, the panel provides insights into the place the SEC can be stepping into 2024.
The previous SEC legal professionals from 5 totally different cities spotlight threat areas and recommendation for these trying to keep away from the SEC.
