A New Day in Enforcement Land: Recent Changes at the SEC and FINRA

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A New Day in Enforcement Land: Recent Changes at the SEC and FINRA

April 13, 2026

United States
United States
United States
In a piece published by NSCP Currents, Eversheds Sutherland attorneys Brian Rubin, Ellen Connell, and Ellen Sheridan-Cona examine recent, meaningful shifts in enforcement processes at both the SEC and FINRA, following updates announced in February and March 2026. These developments, among the most significant procedural changes in nearly a decade, signal increased transparency, revised expectations around cooperation, and earlier engagement opportunities for those in proceedings before the securities regulators.

For companies and individuals who find themselves the subject of an enforcement investigation, this article provides timely insight into what these changes mean in practice and how to effectively deploy compliance and response strategies when navigating regulatory investigations. 

Read the piece to learn more about both the new obligations, and the potential strategic opportunities, created by these reforms.

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The materials on the Eversheds Sutherland website are for general information purposes only and do not constitute legal advice. While reasonable care is taken to ensure accuracy, the materials may not reflect the most current legal developments. Eversheds Sutherland disclaims liability for actions taken based on the materials. Always consult a qualified lawyer for specific legal matters. To view the full disclaimer, see our Terms and Conditions or Disclaimer section in the footer.

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brianrubin@eversheds-sutherland.com

Brian L. Rubin

Partner

Washington, DC, United States

ellenconnell@eversheds-sutherland.com

Ellen K. Connell

Partner

Washington, DC, United States

ellensheridancona@eversheds-sutherland.com

Ellen M. Sheridan-Cona

Counsel

New York, United States

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