Troutman Pepper Attorneys Examine SEC Enforcement Trends

A recent Troutman Pepper seminar reviewed the current SEC enforcement environment focusing on pandemic-related concerns; the Dodd-Frank whistleblower program; notable enforcement actions concerning advisory committees; performance advertising and marketing; fees and expenses; conflicts of interest; insider trading and digital assets; and the evolution of the law pertaining to disgorgement. The program featured Troutman Pepper partners Jay A. Dubow, Gregory J. Nowak and Ghillaine A. Reid, along with associate Ausra Ragauskaite. This article distills their insights. For coverage of another recent Troutman Pepper program, see “A Refresher on Custody and What to Expect on Surprise Custody Exams” (Feb. 18, 2021).

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