Tags: SEC FINRA

 

SEC & FINRA 2017 Priorities: A Midyear Update

This webinar provided a mid-year review of financial regulatory priorities, with a focus on SEC and FINRA as well as a discussion on industry events from 2017 that have contributed to and shaped on-going compliance priorities.

You can download the slides from the webinar here.

 

Read our blog post: FINRA Fines 2017: A Midyear Update

 

 

This webinar was co-hosted with Russell Sacks and Jennifer Morton of Shearman and Sterling LLP. Visit the official site here: www.shearman.com

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