Vinson & Elkins partner Rebecca Fike joins the inSecurities podcast to talk about insider trading, the SEC’s use of artificial intelligence and data analytics to root out misconduct, and the Enforcement Division’s focus on reporting and disclosure cases, including Environmental, Social, and Governance (ESG) reporting. She also explains how the Commission’s focus on charging even technical violations feels a bit like the return of the “broken windows” approach to enforcement. Rebecca draws on her 10 years of experience in the Division of Enforcement to explain what captures the staff’s attention and how they investigate.

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Rebecca Fike

Rebecca Fike is a Chambers-ranked lawyer, experienced litigator, and former SEC enforcement attorney focused on SEC and white collar defense and government and internal investigations. As Senior Counsel in the Securities and Exchange Commission’s Division of Enforcement for nearly 10 years, Rebecca conducted all aspects of her investigations, including three SEC “Top 5” national priority investigations, and multiple successful recommendations under the new administration and SEC Chairman. She often conducted parallel investigations with the Department of Justice and other civil and criminal agencies. The SEC recognized her efforts with an Annual Enforcement Director’s Award for excellence in investigative work, as well as the inaugural Performance Incentive Bonus award for demonstrating an “extraordinary and rare level of performance that significantly surpasses the requirements of the job.”

Rebecca brings clients a current, insider’s perspective on how to best guide them through the reality of today’s SEC investigations. She is uniquely positioned to work productively with SEC staff while vigorously protecting her clients’ interests. Since reentering private practice, Rebecca has successfully represented public and private company clients in SEC matters initiated by the Division of Enforcement and Division of Examinations. Opposite the Division of Enforcement, she has effectively navigated her clients through investigations to case closures, successful Wells notice responses, and favorable settlements. Rebecca has conducted investigations on behalf of audit committees or other special committees into whistleblower allegations or other internal reports with potential SEC implications. She is often retained to advise clients on enforcement risks relating to business transactions and other situations and how to take proactive measures to preclude an enforcement investigation.

Rebecca is a thought leader on SEC matters and is often quoted in the press, including recently by Forbes, Politico, Bloomberg Law, Reuters, Law 360, Private Equity Law Report, and The Texas Lawbook. She is a frequent speaker and writer on SEC topics, was named a Top Author in White Collar Defense in 2023 by JD Supra, and regularly appears on panels at industry and legal conferences, webcasts, and client events.

Rebecca is a member of the Dallas recruiting committee and co-lead of the firm’s Women’s Initiative for the Washington, DC office.

An SEC Insider on Insider Trading and Broken Windows

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Featured in this Episode

Rebecca Fike