In episode 4 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, discuss recent development in private funds regulation with Karl Egbert, Partner at Baker McKenzie and Co-Chair of the Firm’s Global Private Funds Group. The conversation delves into the impact of the Dodd-Frank Act on private fund adviser regulation and then focuses on the SEC’s Private Fund Adviser Rule, which the Fifth Circuit vacated in June 2024. The conversation examines the impact of these developments on the private fund adviser industry and also addresses SEC rulemaking authority more generally.

Past episodes of the series:

Episode 1 (5/22/24)

Episode 2 (6/5/2024)

Episode 3 (7/24/2024)

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Angela Zhang, previously of the University of Hong Kong Faculty of Law, and currently of the USC Gould School of Law, is the author of High Wire: How China Regulates Big Tech and Governs its Economy (Oxford Press, 2024). She provides important and nuanced insights into China's hierarchical regulatory style. Don Resnikoff moderates.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Kimberly Wood, 2023-24 law student fellow with the D.C. Bar Environment, Energy and Natural Resources Community, interviews Elizabeth Klein, Director of the Bureau of Ocean Energy Management (BOEM). Klein discusses BOEM's role in overseeing offshore wind energy development in the US, outlining their process from identifying potential lease areas to conducting environmental assessments and engaging with stakeholders. She emphasizes BOEM's efforts to meet renewable energy goals while balancing environmental concerns and fostering economic growth and local economic benefits associated with offshore wind projects. The discussion also touches on regulatory updates and challenges facing the industry.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Thank you to our sponsors!

⁠⁠⁠⁠⁠LawPay⁠⁠⁠⁠⁠⁠ was developed specifically to help law firms streamline billing and collections—while providing a simple, secure solution for legal clients to pay their bills. As an industry leader in legal payments, LawPay is a cost-effective solution for more than 50,000 law firms around the country.

⁠⁠⁠⁠MyCase⁠⁠⁠⁠⁠ is a powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting. Automate and streamline everything from client intake and calendaring to workflows and payments in an intuitive, all-in-one solution trusted by more than 17,000 law firms.

In episode 3 of this series, A.Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, discuss recent developments in insider trading with Deborah Meshulam (Partner and a leader of DLA Piper's Securities Enforcement practice).

The conversation begins with the impact of Dodd-Frank Act Section 929P(a) on SEC insider trading prosecutions, and then focuses on the recent jury decision in SEC v. Panuwat, the first case based on a legal theory referred to as “shadow” insider trading.

Click ⁠HERE⁠ to listen to Part 1 of this series from May 22, 2024 and HERE to listen to Part 2 from June 5, 2024.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Thank you to our sponsors!

⁠⁠⁠⁠⁠LawPay⁠⁠⁠⁠⁠⁠ was developed specifically to help law firms streamline billing and collections—while providing a simple, secure solution for legal clients to pay their bills. As an industry leader in legal payments, LawPay is a cost-effective solution for more than 50,000 law firms around the country.

⁠⁠⁠⁠MyCase⁠⁠⁠⁠⁠ is a powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting. Automate and streamline everything from client intake and calendaring to workflows and payments in an intuitive, all-in-one solution trusted by more than 17,000 law firms.

Panelists Bob Hosea with the DC Superior Court’s Multi-Door Dispute Resolution Division and volunteer mediator Stephen Fennell discuss how the Civil Court mediation process can help the parties communicate with each other and expedite resolution of the litigation dispute. Volunteer mediator Fennell focuses on the rewards and challenges of being a mediator. Moderated by Don Resnikoff.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Thank you to our sponsors!

⁠⁠⁠⁠LawPay⁠⁠⁠⁠⁠ was developed specifically to help law firms streamline billing and collections—while providing a simple, secure solution for legal clients to pay their bills. As an industry leader in legal payments, LawPay is a cost-effective solution for more than 50,000 law firms around the country.

⁠⁠⁠MyCase⁠⁠⁠⁠ is a powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting. Automate and streamline everything from client intake and calendaring to workflows and payments in an intuitive, all-in-one solution trusted by more than 17,000 law firms.

Celebrate the 100th episode of Brief Encounters as we talk about the evolution of leadership within the D.C. Bar. Join the past, present, and future D.C. Bar Presidents—Charles Lowery, Jr., Ellen Jakovic, and Shaun Snyder— for a candid discussion reflecting on their legacies, visions, and the defining moments that have shaped the D.C. Bar. Tune in to hear about the challenges and triumphs of bar leadership and the forward momentum of legal advocacy.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

The series continues by focusing on Dodd Frank Act’s Section 913, which addressed the standards of care of broker-dealers and investment advisers, and the regulatory developments in that space since 2010, including the SEC’s 2011 Study and 2013 Concept Release leading up to the proposal of Regulation Best Interest in 2018. The podcast also addresses the adoption of Regulation Best Interest in 2019 and the ensuing implementation in 2020, as well as the 2019 Advisers Act Fiduciary Interpretation and 2022 and 2023 SEC Staff bulletins. This episode closes by addressing developments in Department of Labor ERISA rulemaking and state securities and insurance developments.

Click HERE to listen to Part 1 of this series from May 22, 2024.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

In the complex seas of financial regulation, the Dodd-Frank Act stands as a landmark piece of legislation crafted in the wake of the 2008 financial crisis. Fast forward fourteen years and we are once again in a rulemaking cadence that is unparalleled in speed and impact on the financial services industry.

In this podcast series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, will discuss seminal legislation – including the Dodd-Frank Act – that were ushered in as the result of economic crisis and the aftermath of rulemaking, implementation and enforcement.

This episode covers The State of the Union on Investor Protection in 2024: Balancing Investor Needs, Industry Costs and Public Policy.

As the U.S. faces increasing challenges in its securities markets, government and academic expertise look back to a century of investor protection and balancing costs with the need to protect investors. Our experts will discuss seminal legislation – including the Dodd-Frank Act – that were ushered in as the result of economic crisis and the aftermath of rulemaking, implementation and enforcement. The Dodd-Frank Act signaled the beginning of a new era of investor protection and financial market oversight, which our experts will address while also looking ahead to future potential changes.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

Thank you to our sponsors!

⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠USI Affinity⁠ offers one of the most comprehensive liability programs available to D.C. area attorneys. We specialize just like you specialize in a particular area of practice. As a malpractice insurance specialist, USI Affinity understands the practice of law to protect your hard-earned reputation. Our program features proprietary coverage designed to mitigate risk and eliminate the financial impact of self-insuring. Our highly skilled specialists are here to answer your questions and help you understand your policy. Having more than 50 years of experience in protecting attorneys, we are ready to serve you.

⁠⁠⁠⁠LawPay⁠⁠⁠⁠⁠ was developed specifically to help law firms streamline billings and collections, providing a simple, secure solution for legal clients to pay their bills. LawPay is the industry leader in legal payments, providing a cost-effective solution for more than 50,000 law firms around the country.

⁠⁠⁠MyCase⁠⁠⁠⁠ is an intuitive and powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting.