CLE Courses

SEC and FINRA Enforcement: Developments Regarding Broker Dealers – A Year in Review

Wednesday, February 24, 2016

This program will describe key developments in SEC and FINRA enforcement programs, analyze 2015 enforcement statistics, and summarize important cases against broker-dealers and their employees.

For more information or to register, please contact Veda Nieves at

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