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ARTICLE · 27 NOVEMBER 2025

Securities Enforcement DC 2025 – Key Takeaways

Alvarez & Marsal
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The Securities Docket recently hosted its Securities Enforcement conference in Washington, DC. Panels covered several topics around financial and investor risks and management, regulation updates, and emerging technology.

United StatesCorporate/Commercial Law
Brooke Hopkins
Brooke Hopkins
Joe Gardemal
Joe Gardemal
Michael Malloy
Michael Malloy

The Securities Docket recently hosted its Securities Enforcement conference in Washington, DC. Panels covered several topics around financial and investor risks and management, regulation updates, and emerging technology. Although no SEC officials were present, former Commission staff and legal and compliance professionals provided their perspectives on the latest trends and developments. Following are key takeaways from Securities Enforcement DC.

1. Emphasizing "Back to Basics"

Panelists repeated this adage across multiple panels, emphasizing the SEC's step away from an enforcement focus pertaining to some areas like climate and cyber, and a move toward focusing on traditional areas of fraud, insider trading, and market manipulation.

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