NEW YORK, February 25, 2020: Morgan Lewis has issued its 2019 Year in Review: Select SEC and FINRA Developments and Enforcement Cases, an analysis of key US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments and cases regarding broker-dealers, investment advisers, and investment companies. The 14th annual report also highlights this year’s regulatory examination priorities.
Important developments in the SEC’s enforcement and examination programs are discussed in the Year in Review, including its continued focus on protecting retail investors, holding individuals accountable, and imposing effective remedies. The report also provides insight into the regulatory programs at FINRA, such as the publication of new guidance relating to credit for extraordinary cooperation, the commencement of a self-reporting initiative, and the announcement of major changes to its examination and risk monitoring programs.
Read the complete Year in Review for additional insights, including: