Published on Mar 5th, 2025 |

Acting Chair Mark Uyeda Recent Speeches | Key Takeaways

SEC RELEASES

Introduction

As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s role moving forward during many talks this past month.

As the industry pays close attention to the new administration’s goals for our regulatory environment, there are some key takeaways from the Acting SEC Chair, Mark Uyeda, that can hint at the administration’s goals.

Key Takeaways

Key Takeaways

Acting SEC Chair, Mark Uyeda, has highlighted certain goals that are at the core of the SEC’s mission to:

  • Continue to hold wrongdoers accountable, as Uyeda states that “The commission’s enforcement work has not stopped”.
  • Identify bad actors who obstruct the delivery of essential information for making sound investment decisions.
  • Prevent bad actors from falsely stating or exaggerating their use of emerging technology.
  • Keep abreast of how technological innovations are impacting markets.
  • Facilitate capital formation by punishing fraud and deceit while also avoiding “paternalistic regulation”.
  • Ensure that market forces, instead of manipulative ones, determine the price of securities.

Additional Goals

Additional Goals

Uyeda also discussed certain tasks he believes the SEC should consider pursuing:

  • Improving capital raising opportunities for entrepreneurs.
  • Empower retail investment in private companies.
  • Scaling public company disclosure requirements.
  • Making IPOs attractive again.

Vigilant's Conclusion

Vigilant’s Conclusion

While admitting that the previous four years was a “stark aberration from longstanding norms”, Uyeda also voiced the SEC’s on-going commitment to enforcement activity that ensures a fair marketplace.

Vigilant believes that while the extremely aggressive rulemaking and rule amending during the previous administration is likely to halt, it is just as likely that investigations and enforcements will remain relatively unchanged.

Firms should continue to build a culture of compliance that can withstand differing regulatory environments. As both technology and society rapidly change, it is essential that Firms are prepared for the on-going compliance concerns that can be seen on the horizon.

Reach out to us today to discuss how your business can benefit from our range of Compliance Solutions.

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