Securities Enforcement Under the Biden Administration

The SEC and DOJ are expected to take a more aggressive approach to enforcement of the federal securities laws under the Biden Administration.

As a result, we anticipate an uptick in investigations and charges against companies, private funds and individuals, across a range of areas, including:

  • insider trading
  • issuer financial reporting and disclosure
  • investment adviser misconduct
  • ESG
  • FCPA enforcement
  • market manipulation
  • Regulation Best Interest
Download presentation materials here. 

Foley Hoag attorneys discuss the likely direction of enforcement in these areas by both agencies, including cooperation between the SEC and DOJ in pursuing investigations.