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SEC & FINRA Enforcement Actions: Will 2017 "Trump" 2016?

    

 

SEC & FINRA Enforcement Actions: Will 2017 "Trump" 2016?

This webinar co-hosted with Brian Rubin and Adam Pollet of Sutherland took place on Dec 8th 2016. In it we looked back at the top FINRA & SEC enforcement actions from 2016, some key cases and some predictions for the securities industry in 2017.

You can access the slides from this webinar here

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