Nota Bene Episode 10: Testing the Temperament of Current Financial Securities Regulation with Jeff Kern


With Tesla’s CEO and Chairman, Elon Musk, recently charged by the Securities and Exchange Commission with fraud over his misleading Tweets, we thought it would be timely to check in on the current state of regulatory enforcement in the U.S. We also explore the influence and effect of political administrations on the atmosphere of securities enforcement.

Joining Michael Cohen today is Jeff Kern, a partner in the Government Contracts, Investigations, and International Trade Practice Group in Sheppard Mullin’s New York office.

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What We Discuss in This Episode:

Who are the primary actors involved in securities regulation space?

What are self-regulatory organizations (“SROs”)?

How securities regulations affect the public markets in the U.S.?Is there a laissez-faire state currently?

Is the SEC’s response to Elon Musk’s Tweets an example of the SEC acting swiftly to send a message?

Is the next big economic crisis right around the corner? What affect does that have on the regulatory landscape?

How nature abhors a vacuum – so does regulation

The importance of credibility in regulation and how it is established by government agencies

Are any states stepping into a more prominent enforcement or even adversarial role?

Can a political administration restrain enforcement in this area?

How can the C-Suite leverage the new environment?

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