Troutman Pepper Attorneys Examine SEC Enforcement Trends

A recent Troutman Pepper seminar reviewed the current SEC enforcement environment, with a particular focus 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 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 “Tax Withholding on Foreign Partners: Partnership‑Level Duties and Consequences As the Requirement Has Evolved Over Time (Part One of Two)” (Mar. 2, 2021); and “How to Effectively Claim Net Operating Losses Under the CARES Act Without Triggering Potential Negative Ramifications” (Aug. 11, 2020).

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