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SEC & FINRA Mid-Year Enforcement Update


SEC & FINRA Mid-Year Enforcement Update

Interested in learning about the top SEC and FINRA enforcement issues  and what’s on the horizon for the rest of the year? 

This session will provide insight into:

  • Top enforcement issues
  • What the regulators are focusing on in 2018
Our panelists include:
Brian Rubin, Partner at Eversheds Sutherland US (LLP)
Adam Pollet, Associate at Eversheds Sutherland US (LLP)


View the full recording below (Webinar starts at 0.45)