Securities Regulation and Enforcement Series: Shifting Tides: SEC Leadership, Crypto Policy, and FINRA's Regulatory Refresh

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Brief Encounters

D.C. Bar Communities Office

139 episodes

1 week ago

Listen in for exclusive interviews and conversations with D.C. Bar members and guests about hot topics! To learn more about D.C. Bar Communities, join a community, and/or register for upcoming programs, visit www.dcbar.org/communities Presented by the D.C. Bar Communities Podcast Network. Other network channels include "The Tea on International Arbitration" with the D.C. Bar International Law Community (anchor.fm/DCBarTea) and "Let's Brief It" with the D.C. Bar Law Student Community (anchor.fm/DCLSC). Theme Music: "If" by Broke for Free

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Securities Regulation and Enforcement Series: Shifting Tides: SEC Leadership, Crypto Policy, and FINRA's Regulatory Refresh

Brief Encounters

43 minutes 44 seconds

5 months ago

Securities Regulation and Enforcement Series: Shifting Tides: SEC Leadership, Crypto Policy, and FINRA's Regulatory Refresh

In the fifth episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association continue to discuss SEC Chair Paul Atkins’ key priorities now that he has begun his term. Valerie and William discuss key SEC developments focusing on the recent Crypto Task Force Roundtables, public company disclosure priorities and current targeted reorganization developments occurring at the SEC. Valerie and William also discuss recent FINRA developments, including FINRA’s modernization rule proposals and outside business activity rule proposal, as well as FINRA’s May 8, 2025 Statement entitled SEC Off-Channel Communications Settlements – SRO Collateral Consequences. Whether you’re a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape.

Past episodes of this series:

⁠⁠⁠Episode 1⁠⁠⁠ (5/22/24) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Investor-Protection-in-2024-e2je2a6]

⁠⁠⁠Episode 2⁠⁠⁠ (6/5/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-All-Things-Standards-of-Care-in-2024-e2k8u2m/a-abahg6m]

⁠⁠⁠Episode 3⁠⁠⁠ (7/24/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Developments-in-Insider-Trading-e2lk443/a-abdiehh]

⁠⁠Episode 4⁠⁠ (8/21/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-The-SEC-Private-Funds-Rule--the-Fifth-Circuit-Decision-and-SEC-Rulemaking-Authority-e2mucdm]

⁠Episode 5⁠ (9/11/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Fireside-Chat-with-SEC-Investor-Advocate-Cristina-Martin-Firvida-e2o23db/a-abguokt]

Episode 6 (10/23/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Off-Channel-Communications--A-State-of-the-Union-e2pqi6c/a-abj83g8]

Episode 7 (12/4/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Impact-of-2025-Presidential-Transition-on-the-SEC-e2r7ivg]