Washington DC Compliance
Round Table
Events
SEC Speaker Web Event:
SEC Enforcement Perspectives for
Broker-Dealers and Investment Advisers
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Stacy Bogert
Associate Director, Division of Enforcement, SEC
august 13 2026
04:30 pm est
Join us for a virtual discussion on the SEC Enforcement Perspectives for Broker-Dealers and Investment Advisers.
WDCCRT Members can RSVP at contact@wdccrt.org by 8/11/2026 to receive log-in information.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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To facilitate networking opportunities for compliance professionals in the financial and securities industries.
The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.
For membership information please use Contact form
WDCCRT Board
Board Director Emeritus
Board Director CFO TZ Clear
Board Director Director of Compliance, DCIM
Sponsors
Past Events
05/07/2026
SEC Speaker Web Event:
SEC Cross-Border Priorities 2026
Laura Cunningham
Senior Counsel, SEC
10/02/2025
SEC Speaker Web Event: ARTIFICIAL INTELLIGENCE (AI)
Laura D’Allaird
Chief of the Cyber and Emerging Technologies Unit, Division of Enforcement, SEC
09/04/2025
SEC Speaker Web Event: Anti-Money Laundering Regulatory Trends
David A. Cohen
Senior Counsel, Office of Market Intelligence, Bank Secrecy Act Group, SEC
08/07/2025
SEC Speaker Web Event: Recent SEC Accounting and Disclosure Cases: Lessons Learned
Pei Y. Chung
Associate Director, Division of Enforcement, SEC
05/29/2025
SEC Speaker Web Event: Recent SEC Cyber Security Cases: Lessons Learned
Mark Sylvester
Associate Director, New York Regional Office, Division of Enforcement, SEC