Morgan Lewis Seminars

2018 SEC and FINRA Enforcement and Examination Trends Road Show – Philadelphia

Tuesday, March 13, 2018
04:00 PM - 06:00 PM Eastern Daylight Time

Please join us for a panel presentation and discussion that will explore evolving enforcement and examination trends affecting broker-dealers, investment advisers, investment companies, and their employees.

Compliance is growing more complex as the SEC continues to bring its proprietary data analytics to bear on its massive trove of market data and renews its focus on disclosures of fees and expenses and conflicts of interest in the asset management industry, and as FINRA's enforcement function undergoes significant change.

Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA enforcement and examination priorities for 2018 and also take a look back at some of the high-impact enforcement actions and developments from 2017.

Topics will include:

  • Retail investor protection, including investors saving for retirement
  • Market structure and integrity
  • Conflict-of-interest disclosures
  • The Kokesh decision and the five-year statute of limitations
  • Cybersecurity and cryptocurrency

This program will be of most value to in-house counsel and senior executives with strategic compliance roles.

Space is limited.

For more information, please contact Kate Lesko at

CLE credit: CLE credit in NY and PA is currently pending approval. CLE credit in CT and NJ is pending approval via reciprocity.