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Practising Law Institute:
Securities Law and Practice 2023: How the SEC Works

October 24, 2023
9:15-10:30 a.m. ET

PLI New York
1177 Avenue of the Americas Entrance on 45th Street
New York, New York

Participants will examine the organization and operation of the SEC. After completing the session participants will have a greater understanding of how to:

  • Evaluate the distinct roles of the SEC Chair, Commissioners and staff
  • Make sense of the different roles and responsibilities of the SEC’s operating divisions.
  • Distinguish between the work that is done in the SEC’s regional offices versus the SEC’s headquarters.
  • Assess how the SEC interacts with other regulators
  • Articulate how the SEC is overseen in Congress
  • The different ways in which the SEC Speaks

Lawrence P. Stadulis
Stradley Ronon Stevens & Young, LLP

Elizabeth H. Baird
Eversheds Sutherland (US) LLP

Dina Ellis Rochkind
Paul Hastings LLP

Rebecca Fike
Vinson & Elkins LLP

Neel Maitra
Wilson Sonsini Goodrich & Rosati

Julie Rizzo
K&L Gates LLP

Christine Ayako Schleppegrell
Morgan, Lewis & Bockius LLP

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