Webcast: Expect Sweeping Changes to the SEC Next Year: An Insider’s Preview

Webcasts  |  December 23, 2024

Join us for an insider view of what to expect at the SEC in the new administration. During this 60-minute webcast we discuss our expectations for the regulatory agenda of the U.S. Securities and Exchange Commission in 2025 and beyond. This will impact all public companies, funds, and financial market participants.

Our panelists include Gibson Dunn Partner Brian Lane, who served as Counsel to SEC Chairman Arthur Levitt and was the Director of the Division of Corporation Finance from 1996 to 1999; Gibson Dunn Partner Tom Kim, who served as Chief Counsel and Associate Director of the Division of Corporation Finance from 2007 to 2013, and as Counsel to SEC Chairman Christopher Cox from 2006 to 2007; Gibson Dunn Partner Tina Samanta, who has represented clients in investigations conducted by the SEC and the Financial Industry Regulatory Authority; and Gibson Dunn Counsel Lauren Cook Jackson, who is an expert in broker-dealer regulation and regularly represents registrants in investigations and enforcement proceedings.

Key topics covered include:

  • Crypto – what are the possible paths forward for issuers and intermediaries? Is there a best path? What about “tokenization” of securities?
  • Climate disclosures – will any version of the final rule ever take effect? What about other ESG disclosures?
  • Gensler-era rulemakings in general – what should be revisited and revised?
  • Areas of reform for public companies, investment companies, broker-dealers and Wall Street?
  • Is the SEC too big?
  • What to expect from the new chairman-designee and a Republican-majority Commission

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the areas of professional practice requirement. This course is approved for transitional/non-transitional credit.

Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact [email protected] to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour in the General Category.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

PANELISTS:

Thomas J. Kim is a partner in the Washington D.C. office of Gibson, Dunn & Crutcher, LLP, where he is a member of the firm’s Securities Regulation and Corporate Governance Practice Group. Mr. Kim focuses his practice on a broad range of SEC disclosure and regulatory matters, including capital raising and tender offer transactions and shareholder activist situations, as well as corporate governance, environmental social governance and compliance issues. He also advises clients on SEC enforcement investigations – as well as boards of directors and independent board committees on internal investigations – involving disclosure, registration, corporate governance and auditor independence issues. Mr. Kim has extensive experience handling regulatory matters for companies with the SEC, including obtaining no-action and exemptive relief, interpretive guidance and waivers, and responding to disclosures and financial statement reviews by the Division of Corporation Finance. Mr. Kim served at the SEC for six years as the Chief Counsel and Associate Director of the Division of Corporation Finance, and for one year as Counsel to the Chairman.

Brian Lane, a partner with Gibson, Dunn & Crutcher, is a corporate securities lawyer with extensive expertise in a wide range of SEC issues. He counsels companies on the most sophisticated corporate governance and regulatory issues under the federal securities laws. He is a nationally recognized expert in his field as an author, media commentator, and conference speaker. Mr. Lane ended a 16-year career with the Securities and Exchange Commission (“SEC”) as the Director of the Division of Corporation Finance where he supervised over 300 attorneys and accountants in all matters related to disclosure and accounting by public companies (e.g. M&A, capital raising, disclosure in periodic reports and proxy statements). In his practice, Mr. Lane advises a number of companies undergoing investigations relating to accounting and disclosure issues.

Tina Samanta, is a partner in the New York office of Gibson, Dunn & Crutcher. She is a member of the firm’s Litigation, Securities Enforcement, White Collar Defense and Investigations, and Securities Litigation Practice Groups. Her practice focuses on representing financial institutions, corporations, and individuals in sensitive and high-stakes securities-related investigations and litigation. She has represented clients in investigations conducted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the New York Attorney General’s Office, and numerous other regulatory authorities. She has also represented a diverse range of clients in all phases of litigation, including trial, before federal and state courts across the country. Tina is a frequent speaker and author on matters relating to enforcement of the securities laws. She is a co-author of the Securities Enforcement chapter in the Practicing Law Institute Treatise, Securities Litigation: A Practitioner’s Guide.

Lauren Cook Jackson is counsel in the Washington D.C. office of Gibson, Dunn & Crutcher. Ms. Jackson’s practice focuses on securities regulatory compliance and enforcement matters. She serves as regulatory compliance counsel to retail and institutional broker-dealers and investment advisers. She has also represented global financial institutions, public companies, broker-dealers, investment advisers, private fund issuers, swap dealers, and commercial commodities traders as well as other regulated entities and professionals in responding to examinations, investigations, and enforcement proceedings brought by securities regulators and self-regulatory organizations including: the SEC, CFTC, FINRA, NYSE, DOJ, OCC, CBOE, CME, NFA, NASAA task force groups, and state securities divisions and attorneys general. Ms. Jackson regularly assists clients in conducting internal investigations into potential violations of state and federal securities laws and in identifying steps necessary to obtain compliance with such regulations, as well as self-reporting to securities regulators when required. She similarly has extensive experience designing and advising on the execution of large-scale remediation programs that balance the concerns and priorities of a firm’s internal constituents, mitigate potential follow-on litigation risk, and fulfill the requirements of relevant regulatory undertakings.

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