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ON DEMAND: Fireside Chat with SEC Commissioner Mark T. Uyeda
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Credit: 0 CLE Credit Hours
This chat with Commissioner Uyeda will range across the SEC's current regulatory posture, enforcement activity, and future direction. This program will discuss the SEC’s current rulemaking initiatives that impact broker-dealers, such as the SEC’s predictive data analytics rule, Reg BI’s intersection with other standards of care, and the overall pace of SEC rulemaking. The discussion will also include enforcement and examination trends that impact broker-dealers, including off-channel communication cases and recent SEC sweep activity.
Commissioner Uyeda brings a closely-watched perspective to financial services regulation and public policy. His views are informed by, in addition to his recent nearly two years of service on the Commission, his uncommonly broad experience on Capitol Hill, as an advisor and counsel on the executive and professional staff at the SEC, and in state government. He was a securities counsel at the Senate Banking Committee, an advisor to Chairman Jay Clayton and Acting Chairman Michael Piwowar, counsel to Commissioner Paul Atkins, a staff member in various positions in the Division of Investment Management, and Chief Advisor to the California Corporations Commissioner.
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Sponsored by: Broker-Dealer Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Co-Sponsored by: Retail Investor Protection Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Related Communities of Interest: D.C. Bar Administrative Law and Agency Practice Community; D.C. Bar Early Career Lawyers Community; D.C. Bar Law Student Community
Program Partners: Davis Wright Tremaine LLP; Eversheds Sutherland; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.; Wenchi Hu PLLC
Speakers:
- Mark Uyeda, Commissioner, U.S. Securities and Exchange Commission
- Ben Marzouk, Partner, Eversheds Sutherland (Moderator)
- Michael Post, General Counsel, Securities Investor Protection Corporation (SIPC) (Moderator)
| Your Price | Standard |
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| Non-Member | $0.00 |
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