Morgan Lewis Seminars

2019 SEC and FINRA Enforcement and Examination Trends – Boston

March 04, 2019

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.

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 email Kate Lesko.

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