SEC Regional Heads Discuss SEC Structure and Priorities

A recent Troutman Pepper program offered valuable insights from the heads of the SEC’s Atlanta and New York regional offices. Charles E. Peeler, partner at Troutman Pepper, moderated the discussion, which featured Richard R. Best, Director of the SEC’s New York regional office, and Nekia Hackworth Jones, Director of the SEC’s Atlanta regional office. This article highlights the key takeaways from the presentation, including an overview of the structure of the agency and the New York and Atlanta branch offices; the SEC’s continuing focus on climate change and environmental, social and governance investing, retail investors, financial technology and digital assets; its extensive use of data analytics in both examinations and enforcement; and practical guidance for interacting with the SEC. See “Troutman Pepper Attorneys Examine SEC Enforcement Trends” (Mar. 11, 2021).

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