The Securities and Exchange Commission Historical Society and Morgan Lewis will host the co-directors of the SEC Division of Enforcement for a discussion about the trends in today's regulatory landscape with a look ahead to tomorrow.
The conversation with Stephanie Avakian and Steven Peikin will focus on timely topics such as cyber, retail investor protection, and key enforcement cases and priorities. Timed with the turn of the SEC's fiscal year, the discussion will also provide insight into the division's agenda for the upcoming year.
Thanks to a grant from Morgan, Lewis and Bockius LLP, the oral history of Mark Fitterman has now been added to the collection. From 1974 to 1995, Fitterman served in various roles at the SEC, eventually becoming Associate Director in the Division of Market Regulation. He worked on implementing the 1975 Act Amendments, including establishing a National Market System and the Municipal Securities Rulemaking Board. He also was in charge of oversight and inspections of the exchanges, investment advisors, and broker dealers prior to creation of a dedicated office for this function.
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Watch the video broadcast discussion between moderator Dr. Ken Durr and 3 former directors of SEC's Division of Trading and Markets -- Richard G. Ketchum, Dr. Richard R. Lindsey, and Annette Nazareth.
The panel examines the reshaping of the equities markets from the mid-1990s to mid-2000s, from Reg ATS (Alternative Trading System) through Reg NMS (National Market System), distinguishing the role of regulation, market innovation, and chance, in driving these changes.
