2014 SEC and FINRA Year in Review for Broker-Dealers
Hosted by Morgan, Lewis & Bockius LLP
Location, or Event type:
2014 SEC and FINRA Year in Review for Broker-Dealers
Webinar, Hosted By Morgan, Lewis & Bockius LLP
Thursday, March 26, 2015 - 12:00 PM - Thursday, March 26, 2015 - 1:00 PM
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.