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Davis gives securities regulation primer at SEC presentation

Faculty | Nov 19, 2014 |

Screen Shot 2014-11-19 at 2.47.56 PMWhen the Office of the Inspector General of the federal Securities and Exchange Commission needed someone to discuss enforcement of laws within the various commission divisions, it turned to a Fordham University professor.

Kenneth Davis, a professor of law and ethics at the university’s schools of business, gave a two-day presentation on securities regulation last month to more than 30 attendees, including the inspector general.

The Office of Inspector General, Davis explained, is the watchdog arm of the SEC, investigating allegations of wrongdoing within the commission. Davis sought to provide insight into the laws applied by other divisions in order to help OIG officials make more informed evaluations during their investigations.

Davis, an attorney with undergraduate and graduate degrees in psychology, gave an overview on Depression-era and post-Depression legislation, judicial decisions and administrative regulations. He also discussed the 2008 financial crisis and recent trends in corporate financing.

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