SEC and FINRA 2012 Year in Review

February 21, 2013
03:00 PM - 04:15 PM

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

Anne C. Flannery | Senior Counsel, New York
Robert J. Bittman | Partner, Washington, D.C.
Andrew Southerling | Associate, Washington, D.C.

CLE credit pending.