Stephen Cohen, Associate Director of the Enforcement Division of the SEC addressed the Washington DC Bar Association on Wednesday November 20th at the Immigration Leadership Monthly Luncheon Series, presented by District of Columbia Chapter of the Federal Bar Association (FBA) and Cosponsored by the Federal Bar Association Securities Law Section.
The keynote speaker, Mr. Cohen, oversaw a broad range of domestic and international enforcement activities, including investigations involving accounting and disclosure fraud, insider trading, Foreign Corrupt Practices Act, registered and unregistered securities offerings, market abuses, broker-dealers, investment advisers, and other regularities. Prior to his position as Associate Director of SEC Division of Enforcement, Mr. Cohen served as Senior Adviser to SEC Chairman Mary Schapiro, Assistant Chief Litigation Counsel in the Division of Enforcement, and has also worked in private practice and as a trial attorney at the U.S. Department of Justice.
Mr. Cohen’s remarks focused on securities issues related to the Investor Immigrant Visas. He discussed issues pertaining to: Regulations D and S (including impact of implementation of JOBS Act rules), Finder’s Fees, Broker/Dealers and Investment Adviser activity, investment company registration, recent enforcement actions, close inter-agency collaboration with U.S. Citizenship & Immigration Services (USCIS) and Financial INdustry Regulatory Authority (FINRA) and others, continued interest in the industry, and more.
