SEC & FINRA 2017 Priorities: A Midyear Compliance 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.

• Intro (4:45)
• Securities regulation in 2017 (8:44)
• Statements on priorities and what to expect (21:42)
• Review of key issues for the regulators (4:39)
• Q&A (6:23)

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