Coffee, Tea & SEC: Hot Topics in 10 Minutes with Sidley SecReg Lawyers
A Trap for the Unwary: The SEC Restores Former Waiver Policy for Enforcement Action Collateral Consequences
February 24, 2021
On February 11, Acting Chair of the SEC, Allison Herren Lee, announced a return to the Division of Enforcement’s prior practice of considering enforcement action settlement offers separately from requests for waivers of collateral consequences that arise from the terms or remedies in the anticipated settlement, including certain automatic disqualifications.
This recorded discussion among Sidley Securities Enforcement and Regulatory group partners Barry Rashkover and Griff Green and counsel Elizabeth Marino explain the issues and preview the implications of these changes.
Contacts
Related Resources
Capabilities
Suggested News & Insights
Private Funds & Asset Management: Developments & OpportunitiesThursday, March 12, 2026Northern California Compliance Officer RoundtableWednesday, March 4, 2026Andrew Blake to Speak on Tokenization and ATSs at TabbFORUM SymposiumTuesday, February 24, 2025Structured Finance Association’s SFVegas 2026 ConferenceSunday, February 22, 2026 – Wednesday, February 25, 2026FINRA Aims to Reduce Burdens Associated With Use of Negative Consent for Bulk Account Transfers or AssignmentsFebruary 10, 2026U.S. FTC Signals Renewed Interest in “Click-to-Cancel” RulemakingFebruary 9, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory