Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor Choice Advocates Network.

In this episode, Morgan and Zaccaro talk to a nationwide panel of SEC experts regarding the SEC’s annual enforcement report, which details the hundreds of cases brought by the SEC enforcement division over the last year.

On wide-ranging topics including the Marketing Rule, off-channel communications, whistleblowers, gatekeepers and disclosures, the panel offers insights into where the SEC will be going in 2024.

The former SEC lawyers from five different cities highlight risk areas and advice for those looking to stay clear of the SEC.