Current Developments in SEC and FINRA Examinations and Enforcement

Please join us for an engaging legal learning session.

TOPICS WILL INCLUDE:

• Overview of SEAM
• The current SEC landscape and investigations
• Retailization of private markets
• Funds and ETFs
• FINRA
• Exams to enforcement pipeline
• State regulators
• Litigation and individual liability trends

CREDIT

CLE credit in CA, FL, IL, NY*, PA, TX, VA, and WA is currently pending approval; credit in CT and NJ is pending approval (via reciprocity). CLE credit is not available for the viewing of recorded sessions.

*This program qualifies for Newly Admitted Attorneys.

Those seeking CLE credit in any other state may be provided with a General Certificate of Attendance and may apply independently.

QUESTIONS?

For more information, please contact Gabe Aviles.

CLE Questions?

Please contact CLECreditRequest@morganlewis.com.