What Presidential Election Means For Securities Regulation
By Amy Greer and Valerie Mirko (August 31, 2020, 4:29 PM EDT) -- The upcoming U.S. presidential election in November requires a close look at what a change in administration could mean for the securities industry. This brief video covers the U.S. Securities and Exchange Commission's examination and enforcement programs with a focus on broker-dealers, whether Regulation Best Interest is here to stay, the U.S. Department of Labor's recent fiduciary proposal, and developments in state regulatory and enforcement efforts.
Amy Greer is a partner and co-chair of the North America financial regulation and enforcement practice at Baker McKenzie. Previously, she was chief trial counsel for the SEC's Philadelphia Regional Office.
Valerie Mirko is a partner at Baker...
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