Spotlight on 2016 SEC & FINRA Cases and Trends for 2017

This webinar was co-hosted with Brian Rubin and Adam Pollet of Eversheds Sutherland, experts in FINRA and SEC litigation. The webinar covered: 

• Introduction (3:43)
• 2016 SEC Actions - The Stats (2:00)
• 2016 SEC Actions - Key Cases (7:47)
• 2016 FINRA Actions - The Stats (3:45)
• 2016 FINRA Actions - Top Enforcement Issues (11:32)
• 2016 FINRA Actions - Enforcement (7:50)
• Regulatory Trends for 2017 (4:58)

You can access the slides from this webinar here.

Read more SEC & FINRA related content;

• FINRA Fines in 2016 - 7 Key Facts
• SEC Exams: The Do's & Dont's
• Click here for more FINRA related content or;
• Click here for more SEC related content