Please join us for a timely discussion of how key developments in the SEC's and FINRA's enforcement programs led to these results, including a summary of important cases against broker-dealers and their employees, an analysis of 2012 enforcement statistics and priorities for 2013, and an update on SEC FCPA issues.
2012 was another record year for the SEC's and FINRA's enforcement programs, with more cases and higher money penalties and remediations than in prior years.
Thursday, February 21, 2013
3-4:15 p.m. ET
CLE credit pending.