Securities Regulation and Enforcement Series: Off-Channel Communications, A State of the Union

In episode 6 of this series, A. Valerie Mirko, a 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, chat about the SEC’s recent off-channel communications settlements. The episode focuses on the history of these settlements, recent developments and what to expect.    

Past episodes of this series:

⁠⁠Episode 1⁠⁠ (5/22/24)

⁠⁠Episode 2⁠⁠ (6/5/2024)

⁠⁠Episode 3⁠⁠ (7/24/2024)

⁠Episode 4⁠ (8/21/2024)

Episode 5 (9/11/2024)

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.