Event

2015 SEC and FINRA Year in Review

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March 9, 2016

Please join us for a 90-minute webinar as our securities enforcement and investment management lawyers take a look back at high-impact enforcement actions and notable developments from 2015. We will also discuss key Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulatory priorities for 2016.

This program will focus on key enforcement statistics, SEC and FINRA regulatory trends, and growing compliance complexities impacting broker-dealers, investment advisers, and investment companies.

CLE credit: CLE credit in CA, FL, IL, NJ (via reciprocity), NY, PA, TX, and VA is currently pending.