5a. BD – Enforcement Issues

Attendees will explore pending and recently reported SEC and FINRA enforcement actions and capture an understanding of the lessons learned. Presenters will discuss current enforcement trends as well as the regulators’ priorities and substantive change to the enforcement process.

Learning Objectives:

  • Analyze pending and recent SEC and FINRA enforcement actions, enforcement initiatives and sweep investigations, and lessons learned therefrom
  • Examine enforcement trends related to particular segments of broker-dealer activities
  • Understand the current parameters and impact of self-reporting and cooperation
  • Discuss coordination with outside counsel and fundamental privilege issues


Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 10:00 am - 11:15 am Stephanie Avakian Jessica Hopper Brian Rubin

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