SEC and FINRA 2011 Year in Review
2011 was a record year for the SEC's and FINRA's enforcement programs, with both bringing more cases and obtaining higher money penalties and remediation than in prior years.
Please join us for this webinar as we discuss the following topics:
- Key developments in the SEC's and FINRA's enforcement programs that led to these results.
- A Summary of important cases against broker-dealers and their employees.
- An analysis of 2011 enforcement statistics, and a list of SEC and SRO priorities for 2012.
Thursday, February 23, 2012
CLE credit in NY, NJ, PA, IL, TX, and FL is currently pending approval.