SEC Enforcement Trends-2011: Directions, Questions and Analysis
Program Number: 2122
Program Date: 05/04/2011
Description
The SEC has been focusing on traditional areas such as insider trading, the FCPA, financial fraud and regulated entities in its enforcement activities. At the same time, it is moving forward with new tools and new authority from Dodd-Frank. In some key areas the agency appears to be essentially rewriting the rules through enforcement actions. At the same time, questions are being raised about the effectiveness of the so-called rejuvenation of the enforcement program. In this essential program for anyone dealing with the SEC, Tom Gorman of Dorsey & Whitney LLP projects the direction of SEC enforcement and analyzes the key questions about it.
Available in states
Arizona, California, Colorado Eligible, Florida, Georgia, Missouri, New Jersey Eligible, New York, Texas Self Study
Credit Information
50 minute credit hour - 1.0 General CLE credit
60 minute credit hour - 1.0 General CLE credit
State Program Numbers
Program Categories
Corporate and Commercial Law
Corporate and Securities Law
Criminal Law & White Collar
Federal Courts
In-House Counsel
Litigation & Litigation Skills
Securities & Investing
Presenters
 Thomas O. Gorman, Esq. Dorsey & Whitney LLP |
Thomas O. Gorman, Esq. is a partner in the Washington, D.C. office of Dorsey & Whitney LLP. Mr. Gorman, whose practice involves a wide range of civil and criminal securities and business litigation matters, including conducting internal corporate investigations, defending public companies and individuals in SEC and DOJ investigations, and defending securities class action and derivative suits, is Co-chair of the ABA White Collar Crime Securities Section, and a former member of the staff of the Securities and Exchange Commission's Enforcement Division and Office of the General Counsel. He is a frequent speaker and author of articles regarding securities litigation topics and publishes a blog (www.SECActions.com), which comments on trends and current events in SEC and DOJ securities enforcement investigations and actions. Among his other honors, and those awarded for his blog, he has been selected since 2007 for inclusion in Super Lawyers in the area of securities litigation and Washington Business Journal previously recognized him as one of the five top lawyers in Washington, D.C. |
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