Press Release

Morgan Lewis Issues 11th Annual Report on SEC, FINRA Enforcement Developments and Cases

February 28, 2017

NEW YORK, February 28, 2017: Morgan Lewis today issued the 11th edition of its annual Year in Review, a report on key US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases involving broker-dealers, investment advisers, investment companies, and their employees.

The report, developed by lawyers in Morgan Lewis’s Securities Enforcement and Litigation and Investment Management practices, highlights the significant personnel changes, regulatory priorities and trends, and new enforcement initiatives at both the SEC and FINRA.

To learn more, read the full 2016 Year in Review: Select SEC Cases and FINRA Developments and Enforcement Cases.