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Considerations for a Biden Administration – SEC Enforcement and Securities Litigation


We are ready to help our clients navigate the potential legal and regulatory changes that could arise under a Biden Administration, as affected by the final outcome of the U.S. Senate races – including a shifting focus on SEC enforcement.

Some considerations under a Biden Administration include:

  • Focus on the implementation and ultimately the aggressive enforcement of Regulation Best Interest, further defining the best interest standard.
  • Renewed focus on broken windows matters in which the Division of Enforcement intentionally pursues smaller, non-fraud cases.
  • Increased focus on and enforcement around environmental, social and governance (ESG) disclosures and litigation concerning ESG-related corporate disclosures.

Baker Botts is working with clients to prepare for, and help inform, these initiatives. Learn more on how a Biden Administration will likely affect SEC enforcement, as well as Antitrust & Competition, Energy, Environmental, Safety and Incident Response, FERC, Intellectual Property, Tax, Trade and White Collar & Corporate Investigations:

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