Perspectives on SEC Enforcement

Organizer:  District of Columbia Corporation, Finance and Securities Law Section/Broker-Dealer Regulation and SEC Enforcement Committee In Co-Sponsorship with the Litigation Section and Criminal Law and Individual Rights Section

Topic: Perspectives on SEC Enforcement

Organizer:  District of Columbia Corporation, Finance and Securities Law Section/Broker-Dealer Regulation and SEC Enforcement Committee In Co-Sponsorship with the Litigation Section and Criminal Law and Individual Rights Section

Topic: An informal conversation with former SEC Commissioner Paul Atkins and his Counsel Brad Bondi about their recent thought-provoking article, "Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program," 13 Fordham Journal of Corp. & Financial Law 367 (June 2008).  After setting the stage with a look at the evolution of the Enforcement program since the Wells Committee on "enforcement policy and practices" in 1972, the panel will consider what enforcement policies and practices they believe a modern-day Wells committee would try to address, and generally what Enforcement-related matters may be up for reconsideration over the coming year.  Among other topics, the panelists will discuss their ideas concerning penalties, privilege issues and pre-Wells submission discovery.