SEC and FINRA 2010 Year in Review

February 17, 2011

2010 was an active year of securities regulation and enforcement for the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

This webinar presented a timely discussion of the SEC's and FINRA's 2010-2011 enforcement programs, including: enforcement statistics, important cases against broker-dealers and their employees, the Dodd-Frank legislation and its impact on securities enforcement, and regulatory priorities for 2011.