Securities Enforcement — Emerging Trends in SEC and FINRA Enforcement

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Wednesday, May 11, 2022
01:30 PM - 02:30 PM Eastern Daylight Time
12:30 PM - 01:30 PM Central Daylight Time
10:30 AM - 11:30 AM Pacific Daylight Time

Please join a team of Morgan Lewis securities enforcement and investment management lawyers, including Kelly Gibson, former deputy director of the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement and head of its Environmental, Social, and Governance (ESG) Task Force, for a program that will highlight current enforcement and examination trends affecting broker-dealers, investment advisers, and their employees.

We will review key SEC and Financial Industry Regulatory Authority (FINRA) enforcement developments and high-impact actions, and discuss practical takeaways from the regulators’ enforcement and examination priorities.

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.