The five key areas that the Division will be examining in 2025 are:
- fiduciary duty
- standards of conduct
- cybersecurity
- artificial intelligence.
You can find the full report here.
Tag Archives: featured
Celebrating the SEC at 90!
Good people, important problems and workable laws – celebrating the SEC at 90!
On July 17, PLI hosted The SEC at 90: A Celebration and Retrospective in our New York Conference Center. The program, chaired by longtime Securities faculty Clifford Kirsch, featured SEC Commissioner Hester Peirce, author Diana Henriques (Taming the Street and The Wizard of Lies), former SEC Commissioners Robert J. Jackson, Jr. and Troy Paredes, and other expert panelists. Speakers discussed the SEC’s formation, challenges it faces, opportunities in the next 90 years and beyond, and where SEC practice has been, is, and will be.
SEC’s 2024 Investor Advocate Objectives Report
Section 4(g) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78d(g), requires the Investor Advocate to file two reports per year with the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the House of Representatives. A Report on Objectives is due no later than June 30 of each year, and its purpose is to set forth the objectives of the Investor Advocate for the following fiscal year. This report contains a summary of the Investor Advocate’s primary objectives for Fiscal Year 2024, beginning October 1, 2023. A Report on Activities is due no later than December 31 of each year, and it describes the activities of the Investor Advocate during the preceding fiscal year. For Fiscal Year 2023, the activities and accomplishments of the Office will be reported not later than December 31, 2023. Here is a link to the FY24 Report on Objectives