Overview
Recorded live at RegEd Engage 2026, this panel of compliance and legal experts will discuss FINRA, the SEC, and state regulators’ enforcement priorities and methodologies, and examine lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
The discussion will provide practical insights into emerging regulatory trends, areas of heightened scrutiny, and how enforcement actions are evolving in response to new technologies, shifting market dynamics, and increased expectations around supervision and oversight. Panelists will also share real-world examples and actionable guidance on strengthening compliance programs, improving risk detection, and fostering a culture of accountability across the organization. Attendees will gain a clearer understanding of what regulators are looking for today – and how to proactively align policies, procedures, and controls to mitigate risk and stay ahead of potential enforcement challenges.
Presenters
Sue Light
Partner
Katten Muchin Rosenman
Presenters
Brian Rubin
Partner
Eversheds Sutherland
Presenters
Andrea Seidt
Ohio Securities Commissioner
Ohio Division of Securities
Margie Webber
Director, Regulatory Compliance
RegEd
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.