Anticipating SEC and CFTC Enforcement Priorities Under the Biden Administration

The SEC and CFTC will soon have new Chairs and Directors of Enforcement, who will put their own imprints on the agencies while continuing to advance their core missions. A recent seminar hosted by Brian T. Davis and Dimitri G. Mastrocola, partners at recruiting firm Major, Lindsey & Africa, examined the current enforcement landscape and discussed the agencies’ likely enforcement priorities in the coming years. The program featured Sullivan & Cromwell partners Steven Peikin, former Co‑Director of the SEC Division of Enforcement; and James McDonald, former CFTC Director of Enforcement. This article distills the key takeaways from the presentation. See our recent two-part interview with Peikin: “New Position and Experience at the SEC” (Jan. 14, 2021); and “Enforcement’s Annual Report and SEC Developments” (Jan. 21, 2021). See also our recent two-part interview with McDonald: “New Role and CFTC Experience” (Feb. 18, 2021); and “Whistleblowers, Trends, the New Administration and the Pandemic” (Feb. 25, 2021).

To read the full article

Continue reading your article with a HFLR subscription.