CLE Courses

2019 SEC and FINRA Enforcement and Examination Trends

April 25, 2019

Please join us for a one-hour CLE program that coincides with the publication of our 13th annual desk book that provides a comprehensive analysis of the practices, developments, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority.

CLE credit: CLE credits are currently pending in AZ, CA , CO, DC, GA, IN, MA, MO, NE, NC, IL, NY, OH, PA, SC, TX, VA, and via reciprocity in CT, FL and NJ.