In this Season 3 episode, co-hosts A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, speak with Erin Koeppel, Managing Director, Government Relations & Public Policy Counsel at CFP Board. Valerie, William, and Erin discuss CFP Board’s role as a standard-setting organization, its certification program, and its public policy and advocacy priorities. Erin also shares insights on CFP Board’s recently issued fraud research, including the role of CFP® professionals as financial first responders, legislative efforts to address fraud and better support victims of fraud. The conversation also explores the SEC’s regulatory agenda, including its focus on innovation, and CFP Board’s complementary emphasis on investor protection as a core public policy priority. This episode is a must-listen for securities lawyers, compliance professionals, regulators, and anyone navigating today’s rapidly evolving regulatory landscape.
Recent Past Episodes of this Series:
Key Developments in SEC Enforcement, Exams, and Rulemaking (6/17/2026)
Redefining Retirement: New Rules, New Opportunities (5/20/2026)
A New Enforcement Era and the Potential Coming Wave of SEC Rulemaking (4/22/2026)
Congress Puts the SROs Under the Microscope: SEC Oversight, Transparency, and Reform (3/18/2026)
Congress Puts the SEC Under the Microscope: Accountability, Due Process, and Reform (2/11/2026)
Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.