SEF 2018 Materials

Materials by Panel

I. Cybersecurity: Enforcement and Regulation of the “Greatest Threat to Our Markets Right Now”

  1. SEC Cybersecurity Enforcement at Watershed Moment: How Companies Should Prepare
  2. The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity
  3. SEC Warns Public Companies to Reassess Internal Accounting Controls in Light of Cyber Scams
  4. Commission Statement and Guidance on Public Company Cybersecurity Disclosures
  5. SEC Issues Guidance on Cybersecurity Disclosures
  6. Cybersecurity: The SEC’s Wake-up Call to Corporate Directors
  7. SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
  8. A Dozen Obvious (and Not So Obvious) C-Suite Takeaways from the 2018 SEC Cyber-Disclosure Guidance
  9. SEC Case Brings Rarely Used Cyber Rules Into Limelight
  10. SEC Charges Firm With Deficient Cybersecurity Procedures

II. Litigating Securities Fraud Cases Against the SEC and DOJ 

  1. SEC Investigations: A Guide for Public Company Directors, Officers, and In-House Counsel
  2. Conducting Effective Internal Investigations: A Checklist for In-House Counsel
  3. Applying the Proportionality Standard Under Rule 26 Against the SEC
  4. A Look At SEC’s Rules Of Practice, A Year After Amendments
  5. Understanding the Full Impact of ‘Kokesh’ On SEC Enforcement Proceedings
  6. Supreme Court Finds SEC In-House Judges Must Be Appointed, Past Hiring Deemed Unconstitutional
  7. Supreme Court Finds SEC ALJs are Inferior Officers Subject to the Requirements of the Appointments Clause
  8. In Action Against Yahoo, the SEC Seeks Emails Without A Warrant
  9. SEC Administrative Court Dismisses Fraud Charges, Finding That Defendant Provided Adequate Disclosure Even When Disclosure Not Obvious

III. Foreign Corrupt Practices Act Trends and Developments 

  1. Petrobras Reaches Settlement With SEC for Misleading Investors ($1.78 billion)
  2. Second Circuit Rejects DOJ’s Expansive Theory of Conspiracy and Accomplice Liability Under the FCPA for Foreign Nationals
  3. FCPA: Sets a High Bar for Compliance
  4. 2018 Mid-Year FCPA Update
  5. 2017 Year-End FCPA Update
  6. 2017 FCPA Year-End Update
  7. Top 10 International Anti-Corruption Developments for September 2018
  8. Building on Pilot Program, DOJ Announces New FCPA Corporate Enforcement Policy
  9. DOJ Announces Revised FCPA Corporate Enforcement Policy
  10. DOJ Clarifies Expanded Scope of FCPA Corporate Enforcement Policy In Effort to Further Partner With Business

IV. Insider Trading Trends and Developments 

  1. Bharara Task Force on Insider Trading
  2. Big Data and the Risks of Insider Trading
  3. Think the SEC EDGAR Data Breach Involved Insider Trading? Think Again.
  4. Insider Trading Law After Salman
  5. “Meaningfully Close Personal Relationship” Test Survives, But Perhaps in Name Only: Second Circuit Waters Down Newman’s Test
  6. The Martoma Decision: The Second Circuit Tackles Insider Trading Post-Salman

V. Whistleblower Update

  1. SEC’s 2017 Annual Report on the Dodd-Frank Whistleblower Program
  2. Key Takeaways from SEC’s 2017 Whistleblower Report
  3. Court Finds Disclosure to SEC Required for Anti-Retaliation Protection
  4. Who Is a Whistleblower Under Dodd-Frank’s Anti-Retaliation Provisions?
  5. SEC Awards More Than $54 Million to Two Whistleblowers
  6. One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective
  7. SEC Office of the Whistleblower
  8. Top 10 SEC Whistleblower Awards

VI. Director’s Panel

  1. Speech by Stephanie Avakian, Co-Director, Division of Enforcement: Measuring the Impact of the SEC’s Enforcement Program (Sept. 2018)
  2. SEC Enforcement Annual Report for FY 2017
  3. SEC Leadership Discusses Continuing Priorities
  4. Market Trends 2017/18: Securities Regulation and Enforcement
  5. 2018 Mid-Year Securities Enforcement Update
  6. The SEC/Musk/Tesla Settlement: The Dawning of a New Era of SEC Internet Enforcement

VII. Financial and Accounting Fraud

  1. Accounting & Financial Reporting Enforcement Round-Up (Sept. 2017)
  2. SEC Enforcement in Financial Reporting and Disclosure—2017 Year in Review
  3. Number of Restatements Continues to Decline
  4. The SEC Enforcement Division’s Focus on Auditors and Auditing
  5. SEC Financial Reporting and Audit (FRAud) Group

VIII. Financial Firm Spotlight — Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

  1. Increased Use of Big Data in SEC Enforcement
  2. FINRA 2018 Regulatory and Examination Priorities Letter
  3. SEC Examination Priorities for 2018
  4. Ten Questions Key to the Current Regulatory Climate
  5. Electronic Communications in SEC Examinations and Investigations

IX. Cryptocurrencies and ICOs:  Where Will Enforcement Strike Next?

  1. The SEC Man Cometh for ICO Attorneys
  2. Beware ICO Lawyers: As Regulatory Gatekeepers, You’re the Next SEC Target
  3. The SEC ICO Onslaught Has Begun, Here’s How to Know if Your ICO Will be the SEC’s Next Target . . .
  4. Economic Considerations for ICO Regulation and Litigation
  5. SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
  6. Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC
  7. The SEC and Plaintiffs’ Class Action Attorneys Are Targeting Initial Coin Offerings
  8. News Flash: First Ever U.S. Federal Court Decision Declaring ICOs Are Subject to SEC Jurisdiction
  9. Regulating Virtual Currencies 


When: Thursday, November 1, 2018
7:00 am - 8:20 am (breakfast & registration)
8:20 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel
2800 Pennsylvania Avenue, NW
Washington, D.C. 20007
CLE Credit: 6.5 hours (approved in PA)

CLE Information and Forms

SEF2014 CLE -sm6.5 hours CLE credit approved in PA. Forms available here.


Links to materials available here.

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