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Podcast: Valerie Mirko on FINRA, due process and her testimony before the House Financial Services Committee

Valerie Mirko
GRIP Montage: Private

Valerie Mirko discusses how the SEC’s enforcement agenda is evolving under Chair Paul Atkins, and much more.

We talked about:

  • how the SEC’s current “back to basics” enforcement approach prioritizes investor harm, due process, and more disciplined use of tools such as the Wells Process;
  • why enforcement today is less about targeting specific industries and more about identifying core patterns of fraud across sectors;
  • how Mirko’s