Sign up to save your podcasts
Or
Share Securities Regulation and Enforcement Series – Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform
Share to email
Share to Facebook
Share to X
Share to email
Share to Facebook
Share to X
Or
Securities Regulation and Enforcement Series – Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform
In this Season 3 episode, co-hosts Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, break down a timely set of regulatory and legislative developments shaping today’s securities landscape.
The conversation begins with a recent House Financial Services Committee hearing, A New Day at the SEC: Restoring Accountability, Due Process, and Public Confidence, and why many in the industry have welcomed the hearing as an opportunity to reinforce transparency, accountability, and adherence to the SEC’s core mission - particularly in the Commission’s rulemaking and enforcement processes.
Valerie and William also discuss the SEC’s recent January 30, 2026 statement on tokenization, highlighting how the Commission is thinking about the application of the federal securities laws to traditional asset classes as new technologies reshape market infrastructure. The episode wraps up with a look at FINRA’s rule modernization initiative, including a proposed update to the outside business activities rule, and how FINRA's efforts are aligning with broader SEC and congressional priorities.
A must-listen for securities lawyers, compliance professionals, regulators, and others navigating a rapidly evolving regulatory environment.
Recent Past Episodes of this Series:
A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape (1/21/2026)
A Year of Change, Challenges, and What Comes Next (12/17/2025)
When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward (11/19/2025)
The SEC’s New Direction: Enforcement and Governance in Focus (10/22/25)
From Memecoins to Custody: What Firms Need to Know About Crypto (9/24/25)
Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors (8/13/25)
Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
View all episodes
By D.C. Bar Communities Office
4.8
44 ratings
In this Season 3 episode, co-hosts Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, break down a timely set of regulatory and legislative developments shaping today’s securities landscape.
The conversation begins with a recent House Financial Services Committee hearing, A New Day at the SEC: Restoring Accountability, Due Process, and Public Confidence, and why many in the industry have welcomed the hearing as an opportunity to reinforce transparency, accountability, and adherence to the SEC’s core mission - particularly in the Commission’s rulemaking and enforcement processes.
Valerie and William also discuss the SEC’s recent January 30, 2026 statement on tokenization, highlighting how the Commission is thinking about the application of the federal securities laws to traditional asset classes as new technologies reshape market infrastructure. The episode wraps up with a look at FINRA’s rule modernization initiative, including a proposed update to the outside business activities rule, and how FINRA's efforts are aligning with broader SEC and congressional priorities.
A must-listen for securities lawyers, compliance professionals, regulators, and others navigating a rapidly evolving regulatory environment.
Recent Past Episodes of this Series:
A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape (1/21/2026)
A Year of Change, Challenges, and What Comes Next (12/17/2025)
When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward (11/19/2025)
The SEC’s New Direction: Enforcement and Governance in Focus (10/22/25)
From Memecoins to Custody: What Firms Need to Know About Crypto (9/24/25)
Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors (8/13/25)
Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
More shows like Brief Encounters
View all
The Daily
113,475 Listeners
Behind the Money
238 Listeners
Money Stuff: The Podcast
396 Listeners