Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases


Every year Morgan Lewis publishes 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, as well as a forward-looking discussion of what to expect on the enforcement front in the year ahead.