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Webinars

2019 SEC and FINRA Enforcement and Examination Trends

Tuesday, March 19, 2019
12:00 PM - 01:30 PM ET
09:00 AM - 10:30 AM PT

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

Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA enforcement and examination priorities for 2019 and take a look back at some of the high-impact enforcement actions and developments from 2018.

TOPICS INCLUDE:

SEC Trends

  •  “Main Street” investor protection
  • Cybersecurity, cryptocurrency, and the Cyber Unit
  • Recent litigation impacting SEC programs
  • Five principles, four pillars, initiatives, and sweeps

FINRA Trends

  • Enforcement leadership and structure 
  • Changes to upcoming monitoring programs
  • Current trends in enforcement

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

QUESTIONS?

For more information, please contact Kate Lesko.

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