
Episode #10
Securities Regulation and Enforcement Series: Regulatory Recap – Fraud Prevention, Rulemaking Priorities and Industry News
In this Season 3 episode, co-hosts A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Senior Counsel at Eversheds Sutherland, break down the latest developments shaping the financial services regulatory landscape. They discuss the House Financial Services Committee's report on financial fraud and scams , including key findings and potential policy implications for firms, investors, and regulators. Valerie and William also review the 2026 RegFlex agenda, with a focus on the SEC's proposed e-Delivery framework, exploring how the proposal could modernize investor communications while raising important implementation considerations for firms. Additionally, they discussed the SEC's Retail Fraud Working Group and its focus on combating emerging threats to retail investors, before closing with insights from FINRA's latest enforcement report, highlighting notable trends, enforcement priorities, and practical compliance takeaways. Tune in for a timely overview of the regulatory, compliance, and investor protection issues that financial services professionals should have on their radar. Recent Past Episodes of this Series: Spotlight on CFP Board - Innovation, Investor Protection, and the Fight Against Financial Fraud (7/22/26) Key Developments in SEC Enforcement, Exams, and Rulemaking (6/17/2026) Redefining Retirement: New Rules, New Opportunities (5/20/2026) A New Enforcement Era and the Potential Coming Wave of SEC Rulemaking (4/22/2026) Congress Puts the SROs Under the Microscope: SEC Oversight, Transparency, and Reform (3/18/2026) 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.

