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Current SEC and FINRA Enforcement and Examination Developments

Wednesday, May 1, 2019

Please join us to learn more about practices, developments, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority.

Presenters:

  • Jack O’Brien
  • Timothy Levin
  • Amy Greer

For more information on this event, please contact Sharon James at +1.212.309.7181.

CLE credit: CLE credit is currently pending in CA, NY, PA, KS, MO, and via reciprocity in CT and FL.