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SEC’s Co-Director of Enforcement Talks About Her Division’s Impact

My speech today [1] happens to fall a little less than two weeks before the close of Steve Peikin’s and my first full fiscal year as Co-Directors of the SEC’s Division of Enforcement.  In many respects, a year is an arbitrary time period to measure the Division’s effectiveness and impact.  However, as our first full fiscal year as Co-Directors draws to a close, it is a natural time to look back and assess how successful we have been in accomplishing our mission of protecting investors.

But what does it mean for a civil law enforcement program like ours to be

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SEC Enforcement Co-Chief Talks Cybersecurity and Retail Investor Protection

Good afternoon and thank you for inviting me to speak today. Before I begin, let me give the required disclaimer that the views I express here today are my own and do not necessarily represent the views of the Commission or its staff.[1]

With that, I am very happy to be here and to talk about some of what we are doing in the Enforcement Division. This has been a year of transition for us. In May, we welcomed Jay Clayton as our new Chairman. And, in June, Steve Peikin and I were named Co-Directors of the Enforcement Division.

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