|12:00 PM - 01:30 PM ET|
|11:00 AM - 12:30 PM CT|
|09:00 AM - 10:30 AM PT|
Please join us for a webinar 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.
This program will be of most value to in-house counsel and senior executives with strategic compliance roles.
For more information, please email Neal Geosits.
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.