2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

February 2017

Morgan Lewis marks its 11th year of publishing its SEC and FINRA Year in Review, which highlights significant personnel changes, regulatory priorities and trends, and new enforcement initiatives at both the SEC and FINRA over the last year.

This report includes key SEC and FINRA enforcement developments and cases involving broker-dealers, investment advisers, investment companies, and their employees. 

View the full 2016 Year in Review >>