2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

As it has done over the last several years, the Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (SEC or the Commission), Financial Industry Regulatory Authority (FINRA), and NYSE Regulation enforcement actions and developments regarding broker-dealers during 2008. This LawFlash provides an executive summary of this year's publication.

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