Securities Law and Practice 2023: How the SEC Works

Christine Schleppegrell will participate in the Practicing Law Institute’s half-day program in New York, Securities Law and Practice 2023: How the SEC Works.

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the US Securities and Exchange Commission (SEC) works to administer these laws. In this program, participants will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws and be provided with what  to know about how the SEC administers the securities laws—and the other agencies that the SEC interacts with on a regular basis.

Topics will include:

• The different roles and responsibilities of the SEC’s operating divisions
• The role of the SEC’s regional offices versus the SEC’s headquarters
• Interaction between federal and state law and the SEC and other regulators
• A look at the SEC’s enforcement and exams