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FINRA's Enforcement Statistics and Trends

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Download the slides from MyComplianceOffice's June webinar with  co-host with Sutherland Asbill & Brennan LLP. 
This webinar included a discussion of FINRA’s recent enforcement statistics and trends. Our presenters, Brian Rubin and Andrew McCormick highlighted some key 2016 SEC and FINRA cases and the significance they may have for broker-dealers and investment advisers. Our presenters also discuss litigation and regulatory enforcement issues related to the Department of Labor’s new fiduciary rule.