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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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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