January 24, 2025

Financial Advisor IQ Quotes Adrienne Gurley on Potential SEC Enforcement Trends

1 min

On January 24, 2025, Financial Advisor IQ quoted Adrienne Gurley on what professionals should anticipate from the Securities and Exchange Commission (SEC) under Paul Atkins. According to the article, financial advisors should not necessarily expect a scaled-back enforcement agenda from the SEC under the Trump administration.

Financial Advisor IQ reports that fraudulent misconduct is expected to be a priority going forward, even if the SEC loosens some areas of its enforcement policy. “I don't think it's going to be a free-for-all by any means, because there still needs to be order and there still needs to be clarity in what people in the financial markets can and can't do,” Gurley explained.

“The focus will remain on fraud ... but stepping away from just pure compliance-type violations,” Gurley added.

Click here to access the article.