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Morgan Lewis Seminars

2020 SEC and FINRA Enforcement and Examination Trends - New York

Tuesday, March 3, 2020
04:00 PM - 05:30 PM ET

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

Our team of securities lawyers will review last year’s key SEC and FINRA enforcement developments and high-impact actions and outline the regulators’ enforcement and examination priorities for 2020.

TOPICS INCLUDE:

SEC 

  • Enforcement Trends, Initiatives, and Focus Areas
  • Litigation and Trial Updates
  • Whistleblowers
  • Exam Priorities

FINRA

  • Credit for Extraordinary Cooperation Guidance
  • New Enforcement Leadership and Changes to the Examination Program
  • Enforcement Trends
  • Key Examination Priorities

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

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.