transcript   Transcript

Inside the SEC – How the SEC Works

Recorded on: Oct. 30, 2017
Running Time: 00:58:20

Full Transcript:



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Taken from the Web Program Securities Law and Practice 2017: How the SEC Works Recorded October 2017 in New York.

Inside the SEC – How the SEC Works [00:58:20]
  • What are the different roles and responsibilities of the SEC’s operating divisions?
  • What work is done in the SEC’s regional offices versus the SEC’s headquarters?
  • Who reviews corporate disclosures?
  • How is the SEC’s enforcement program structured?

Andrew J. Donohue

The purchase price of this segment includes the following article from the Course Handbook available online:

  • SEC—What We Do
    Jennifer B. McHugh
  • Non-GAAP Financial Measures: The SEC’s Evolving Views (June 2016)
    Adam Fleisher
  • Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer, 17 CFR Part 205
    Clifford E. Kirsch
(s)
Andrew J Donohue ~ Shearman & Sterling LLP
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