SEC’s Uyeda: ‘Enforcement is the wrong way’ to handle off-channel communications
By 
Aaron Nicodemus2026-03-19T21:08:00
The U.S. Securities and Exchange Commission’s (SEC) Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
The SEC’s enforcement division “is going after those who are causing harm, or have a high probability of causing harm,” said Uyeda Thursday at the 2026 Investment Advisers Association Compliance Conference in Washington, D.C.
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