2014 SEC and FINRA Year in Review for Broker-Dealers – Webinar

Last year was another record year for the Securities and Exchange Commission’s (SEC’s) and the Financial Industry Regulatory Authority’s (FINRA’s) enforcement programs, including the institution of a number of “first-time” cases in key areas.

Please join us for a timely discussion of important developments in these programs, including significant cases, priorities for 2015, and an update on enforcement and regulatory initiatives in the municipal securities market.

credit
CLE credit in CA (1.0 hour), FL, IL, NJ (via reciprocity), NY, PA, TX, and VA is currently pending approval.