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

Abstract building in green and blueAbstract building in green and blue

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.

_________

If you have any questions about this Legal Briefing, please feel free to contact any of the attorneys listed or the Eversheds Sutherland attorney with whom you regularly work.

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. Eversheds Sutherland is a provider of legal and other services operating through various separate and distinct legal entities. For further information about these entities and Eversheds Sutherlands' structure please see the Legal Notice page of this website.

Services

Industries

Key contacts

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

Latest Insights

Latest News

Latest Events

  • in-person | September 17, 2026
  • in-person | September 23, 2026
  • virtual | September 29, 2026
  • in-person | October 08, 2026
nature

legal updates

September 14, 2026

Global Sustainability & ESG Insights - August 2026

131648317_m

legal updates

September 10, 2026

Global Life Sciences & Healthcare Bulletin

Coding in Action

legal updates

September 10, 2026

Hong Kong: PCPD issues further guidance on best practices in the use of age...

179087012_m

guides and reports

September 10, 2026

EU Cyber Resilience Act: Single Reporting Platform Goes Live

© Eversheds Sutherland 2026. All rights reserved. Eversheds Sutherland is a provider of legal and other services operating through various separate and distinct legal entities. For further information about these entities and Eversheds Sutherlands' structure please see the Legal Notice page of this website.

Eversheds Sutherland is the name and brand under which the members of Eversheds Sutherland Limited (Eversheds Sutherland (International) LLP and Eversheds Sutherland (US) LLP) and their respective controlled, managed and affiliated firms and the members of Eversheds Sutherland (Europe) Limited (each an "Eversheds Sutherland Entity" and together the "Eversheds Sutherland Entities") provide legal or other services to clients around the world. Eversheds Sutherland Entities are constituted and regulated in accordance with relevant local regulatory and legal requirements and operate in accordance with their locally registered names. The use of the name Eversheds Sutherland, is for description purposes only and does not imply that the Eversheds Sutherland Entities are in a partnership or are part of a global LLP. The responsibility for the provision of services to the client is defined in the terms of engagement between the instructed firm and the client. For further information about these Eversheds Sutherland Entities and Eversheds Sutherlands’ structure please see the Legal Notices page of this website.