Report
2019 Year in Review: Select SEC and FINRA Developments and Enforcement Cases
February 2020
Authors
T. Peter R. Pound, Jason S. Pinney, Ben A. Indek, Christine M. Lombardo, Russell M. Fecteau, Ariel Gursky, Jonathan E. Maier, Zoe Phillips, Michele A. Coffey, Timothy P. Burke, Jessica L. Accurso, Dana N. Bach, Benjamin Bhamdeo, Emily W. Booth, Evan W. Busteed, Bryan M. Connor, Martin Hirschprung, Elizabeth J.M. Hood, Sarah Wilbur, Micah Q. Jones, Jessica L. Joy, Ariel Landa-Seiersen, Lindsey Titus Levy, John M. Maloy, Matthew C. McDonough, Robert Raghunath, Kyle T. Sullivan, Natalie R. Wengroff
Morgan Lewis marks its 14th year of publishing its SEC and FINRA Year in Review, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. This report includes key SEC and FINRA enforcement developments and cases involving broker-dealers, investment advisers, investment companies, and their employees.
View the full 2019 Year in Review >>
