General Session: When the SEC Shuts Down — Lessons from the Past and Preparing for the Re-Open

What happens when the U.S. Securities and Exchange Commission (SEC) goes dark? This timely session brings together a panel of seasoned compliance leaders and regulatory experts to explore the real-world impact of an SEC shutdown on financial services operations, examinations, and enforcement activities.

Through a retrospective look at the 2018 shutdown, panelists will share firsthand insights into how firms adapted, where compliance challenges arose, and which strategies proved most effective in maintaining regulatory readiness. Attendees will gain practical guidance on communication with regulators, managing filings and deadlines, and prioritizing compliance functions during periods of regulatory pause.

As the session closes, our experts will outline key takeaways and proactive steps to ensure your organization is positioned for a smooth transition when the SEC re-opens, minimizing disruption and maintaining trust with clients and stakeholders.

This session is open to both regulators and members of the press.