2019 SEC and FINRA Enforcement and Examination Trends

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.