PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.
Episodes
Thursday Jun 17, 2021
Thursday Jun 17, 2021
Many are eager to see how the SEC will approach investment adviser/broker-dealer regulation and enforcement in the Biden Administration. On this episode of inSecurities, SEC Commissioner Caroline Crenshaw shares her views on how the Commission’s investor protection mission guides her approach to Regulation Best Interest, enforcement, and setting corporate penalties. The Commissioner also offers some thoughts on cybersecurity and showtunes to round out the conversation.
