|01:00 PM - 02:00 PM ET|
|12:00 PM - 01:00 PM CT|
|10:00 AM - 11:00 AM PT|
Please join a team of Morgan Lewis securities enforcement and investment management lawyers for a program that will explore current enforcement and examination trends affecting broker-dealers, investment advisers, and their employees.
Following the annual publication of the 2020 Year in Review and a Look Forward, our team will review last year’s key SEC and FINRA enforcement developments and high-impact actions, and discuss practical takeaways from the regulators’ enforcement and examination priorities for 2021 and beyond.
This program will be of most value to in-house counsel and senior executives with strategic compliance roles.
CLE credit: 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.