SEC & FINRA Enforcement Actions

MyComplianceOffice Brochure cover

Download the slides from MyComplianceOffice's December webinar with co-host Brian Rubin and Adam Pollet of Sutherland Asbill and Brennan LLP, 'SEC & FINRA Enforcement Actions: Will 2016 "Trump" 2017?'.

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

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webinar- 12/2016