Broker Dealer Regulation & Enforcement

Forum Overview

Dates: May 6 - 8, 2026

Location: New Orleans, LA

The Steering Committee welcomes up to 44 highly qualified attorneys specializing in securities enforcement and regulation within the broker-dealer space, and a select few senior in-house counsel, personally selected from Washington and New York with a few heavy hitters from other states. Discussions will have a strong FINRA focus and will include only those who are considered experts in the field.

Using candid, seminar-style discussions at this annual meeting, the group identifies trends and developments for meaningful dialogue on the most pressing and provocative issues of the day. Participants learn how others address these problems and identify practical solutions that can work for them.

2025 Steering Committee

This elite group, comprised of experts in the field, personally nominates all invitees and develops the Agenda, which forms the basis of our discussions.

CONNECT. ENGAGE. EXCEL. This is a different event, unlike any you've attended

Built on meaningful interactions and genuine connections, the Forum is the premier gathering for preeminent leaders in securities enforcement.

"Unquestionably, the most valuable professional conference I've attended."

Coates Lear

Member

Shoemaker Ghiselli + Schwartz LLC

Colorado

"The Forum on SEC Enforcement allows me to connect with some of the brightest minds across the country in a collaborative, discussion-based environment to share and consider thoughts and approaches to handling SEC investigations and enforcement actions. Unlike many conferences, the Forum is designed to foster social and intellectual engagement that results in better relationships and ultimately, better information and insights from which to serve clients."