Photo of Elizabeth J. Hogan

Elizabeth Hogan (“Lizzie”) is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority (FINRA), Lizzie has unique insight into the priorities and procedures of financial services regulators, including the SEC, FINRA, the exchanges, and state securities regulators and attorneys general. Lizzie represents clients in complex securities matters, focusing on investigations, regulatory enforcement proceedings, and litigation.

The Securities and Exchange Commission continues to propose rules at a rapid pace. Three of the most recent proposed rules would significantly impact investment advisers by:

  1. Requiring documentation of registered investment adviser compliance reviews;
  2. Establishing cybersecurity risk management and reporting requirements for investment advisers, investment companies and business development companies;
  3. Updating and accelerating beneficial ownership