Securities Enforcement Forum 2019 Materials

Panel 1: Cybersecurity Disclosure and Enforcement: How Tough Will the SEC Get?


Panel 2:  SEC Practice — Developments in Administrative Proceedings, Trials, Testimony, Wells Process, Settlements and More


Panel 3: Financial Disclosure and Accounting Fraud

  1. Building Strength from (Material) Weakness: Audit Committee Oversight of Internal Controls
  2. SEC Proposes to Modernize Disclosures of Business, Legal Proceedings and Risk Factors Under Regulation S-K
  3. SEC Financial Reporting and Audit (FRAud) Group
  4. SEC Speech —Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium
  5. Private Companies: Beware of SEC Scrutiny
  6. SEC Enforcement in Financial Reporting and Disclosure: 2019 Mid-Year Update

Panel 4: Director’s Panel

  1. SEC Enforcement Annual Report for FY 2018
  2. 2019 Mid-Year Securities Enforcement Update
  3. The SEC/Musk/Tesla Settlement: The Dawning of a New Era of SEC Internet Enforcement
  4. SEC Enforcement Activity: Public Companies and Subsidiaries—Midyear FY 2019 Update
  5. Supreme Court Upholds Securities Fraud Liability for Defendant Who Did Not “Make” False Statements
  6. The Lasting Impact of Kokesh: Footnote 3 and Beyond
  7. Keynote Remarks of Sec Chairman Jay Clayton at the Mid-Atlantic Regional Conference (June 2019)


Panel 5: Financial Firm Spotlight — Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

  1. SEC Examination Priorities for 2019
  2. FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter
  3. Electronic Communications in SEC Examinations and Investigations


Panel 6: Insider Trading Trends and the Use of Data in SEC Investigations and Cases


Panel 7: Whistleblower Update: The Impact on Corporations and SEC Enforcement

  1. SEC Office of the Whistleblower
  2. SEC’s 2018 Annual Report on the Dodd-Frank Whistleblower Program
  3. SEC Awards $50 Million to Two Whistleblowers
  4. SEC Whistleblower Program Has Record-Breaking Year


Panel 8: Cryptocurrency Regulation, Enforcement and Litigation: 2019 Developments and What Comes Next


Panel 9: Managing a True Corporate Crisis/Major Internal Investigation

  1. DOJ Puts C-Suite Execs in Crosshairs
  2. Speech by Stephanie Avakian, Co-Director, Division of Enforcement: Measuring the Impact of the SEC’s Enforcement Program (Sept. 2018)
  3. Messages for Public Companies from the SEC’s Spate of September Enforcement Actions


Other Relevant Materials

  1. Securities Class Action Filings—2019 Midyear Assessment
  2. Securities Class Action Settlements—2018 Review and Analysis
  3. Opt-Out Cases in Securities Class Action Settlements: 2014–2018 Update