In this Season 3 episode, co-hosts Valerie Mirko, 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, break down a timely set of regulatory and legislative developments shaping today’s securities landscape.
Valerie and William discuss the recent appointment of David Woodcock as the SEC’s Director of Enforcement and how he is expected to continue Chairman Atkins’s focus on investor harm. Valerie also notes that, despite a recent lull in rulemaking and few open meetings, there could be an “Atkins avalanche” of regulatory activity, with as many as two dozen rules proposed during his tenure.
They further explore Chairman Atkins’s recent speeches, in which he has suggested the SEC may codify certain existing no-action guidance through formal rulemaking.
William also previews next month’s episode, which will cover the Department of Labor’s recent rule that could allow retirement plans to invest more heavily in alternative assets such as private equity and digital assets.
This episode is a must-listen for securities lawyers, compliance professionals, regulators, and anyone navigating today’s rapidly evolving regulatory landscape.
Recent Past Episodes of this Series:
Congress Puts the SROs Under the Microscope: SEC Oversight, Transparency, and Reform (3/18/2026)
Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform (2/11/2026)
A Study in Contrasts: Innovation and Crypto versus the Crypto Fraud Landscape (1/21/2026)
A Year of Change, Challenges, and What Comes Next (12/17/2025)
When Washington Stops: What the 2025 Shutdown Means for the SEC and Congress Going Forward (11/19/2025)
The SEC’s New Direction: Enforcement and Governance in Focus (10/22/25)
From Memecoins to Custody: What Firms Need to Know About Crypto (9/24/25)
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.