transcript   Transcript

Inside the SEC – How the SEC Works

Recorded on: Oct. 17, 2018
Running Time: 00:58:41

Full Transcript:

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Taken from the Web Program Securities Law and Practice 2018: How the SEC Works Recorded October 2018 in New York

Inside the SEC – How the SEC Works [00:58:41]

• What are the different roles and responsibilities of the SEC’s operating divisions?
• What work is done in the SEC’s regional offices versus the SEC’s headquarters?
• Who reviews corporate disclosures?
• How is the SEC’s enforcement program structured?

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • SEC—What We Do
  • Non-GAAP Financial Measures: The SEC’s Evolving Views (June 13, 2016)
    Adam E. Fleisher
  • Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer, 17 CFR Part 205
    Clifford E. Kirsch
Andrew J. Donohue ~ Shearman & Sterling LLP
Brandon A. Hill ~ Senior Counsel in the Office of Chief Counsel, Division of Trading and Markets , U.S. Securities and Exchange Commission
Wendy B Tepperman ~ Assistant Regional Director, Division of Enforcement, US Securities and Exchange Commission
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