2010 Year in Review: SEC and SRO Enforcement Developments Regarding Broker-Dealers

January 27, 2011

The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (the SEC or the Commission), Financial Industry Regulatory Authority (FINRA), and NYSE Euronext enforcement actions and developments regarding broker-dealers during 2010.

This LawFlash touches on key developments in the enforcement programs of the SEC, FINRA, and NYSE Euronext, including new policies and procedures, the metrics used to measure enforcement activity, and the kinds of cases brought by regulators. It also discusses the Dodd-Frank Wall Street Reform and Consumer Protection Act's (the Dodd-Frank Act's) effect on the SEC's enforcement program. The full 2010 Year in Review, which also includes summaries of approximately 80 cases, is available here.

For the full story, please view the PDF.