2020 Year in Review and a Look Forward Webinar

Please join a team of Morgan Lewis securities enforcement and investment management lawyers for a program that will explore current enforcement and examination trends affecting broker-dealers, investment advisers, and their employees.

Following the annual publication of the 2020 Year in Review and a Look Forward, our team will review last year’s key SEC and FINRA enforcement developments and high-impact actions, and discuss practical takeaways from the regulators’ enforcement and examination priorities for 2021 and beyond.

This program will be of most value to in-house counsel and senior executives with strategic compliance roles.

Read the 2020 Year in Review and a Look Forward >>