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.
Related Resources
Capabilities
Suggested News & Insights
Houston Chief Compliance Officer RoundtableWednesday, April 29, 2026U.S. DOL Proposes New Safe Harbor for Selecting Investment Options for 401(k) Plans, Including Options With Alternative AssetsApril 6, 2026Sidley Discusses CFTC Guidance, Advance Notice of Proposed Rulemaking for Prediction MarketsApril 2, 2026Out With the New, In With the Old: The “Five-Part Test” Rides AgainMarch 30, 2026U.S. CFTC, SEC Enter Into Historic Memorandum of Understanding, Joint Harmonization Initiative to Enhance Regulatory CoordinationMarch 27, 2026SEC Releases Landmark Interpretation on Application of U.S. Securities Laws to Crypto Assets, in Coordination With CFTCMarch 24, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory