November 30, 2022

Volume XII, Number 334

2014 SEC and FINRA Year in Review for Broker-Dealers

Last year was another record year for the Securities and Exchange Commission’s (SEC’s) and the Financial Industry Regulatory Authority’s (FINRA’s) enforcement programs, including the institution of a number of “first-time” cases in key areas.

Please join us for a timely discussion of important developments in these programs, including significant cases, priorities for 2015, and an update on enforcement and regulatory initiatives in the municipal securities market.