2015 Outlook: Securities Enforcement
January 5, 2015 10:58 AM
LeeAnn Gaunt, director of the municipal securities and public pensions unit in Securities and Exchange Commission's division of enforcement.The SEC will be trying to get through MCDC submissions in 2015, muni and public pension unit chief LeeAnn Gaunt said. Related Story: More Individual, Secondary Market Enforcement in 2015
Peter Chan, a partner at Morgan Lew & Bockius"My prediction is that we're going to see more litigated SEC cases, perhaps even going to trial," Chan said.
Ernie Lanza, a shareholder at Greenberg Traurig"I would not be surprised if the SEC or FINRA found instances where retail access rules were not being followed," Lanza said.
Paul Maco, a partner at Bracewell & GiulianiPaul Maco said the SEC's approach to tackling MCDC submissions will be an area of interest in the coming year.
John McNally, a partner at Hawkins Delafield & WoodMCDC settlements revealed in 2015 will provide insight into how the SEC views materiality, John McNally said.
Norman Goldberger, a partner at Ballard Spahr"I think in egregious cases you're going to see prosecutions of officials," Goldberger said.
