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Click here to find out moreThe investor protection provisions of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act, H.R. 4173, 111th Cong. (2010), are bound to result in major changes in the world of securities enforcement and regulation. As a result of Dodd-Frank, which provides potentially lucrative bounties for whistleblowers, it is likely that more violations will be reported to the Securities and Exchange Commission (“SEC”), which, in turn will be larger and more powerful. In addition to seeing its budget likely double over the next five years, the SEC will benefit from relaxed proof standards in pursuing secondary actors, expanded jurisdiction over foreign cases, the ability to obtain penalty awards in SEC administrative cases, industry-wide bars for securities professionals, and the ability to subpoena trial witnesses nationally. The SEC will also have the power to impose fiduciary standards on brokers, regulate short selling, restrict customer arbitration agreements, and engage in other extensive rulemaking. Join K&L Gates LLP partners Stephen Crimmins, Kay Gordon, and Matt Morley, as they review key provisions that will impact investors, public companies, securities professionals and their counsel.
