8b. BD – Best Practices for Dealing with Enforcement Issues (OPEN)


This session will dissect pending and recent SEC and FINRA enforcement actions to capture an understanding of the lessons learned. The presenters will also discuss enforcement trends, regulatory priorities, and changes to the enforcement process.
Learning Objectives:
• Analyze pending and recent SEC and FINRA enforcement actions, enforcement initiatives and sweep investigations and lessons learned
• Examine enforcement trends related to broker-dealer activities
• Understand the current parameters and impact of self-reporting and cooperation
• Discuss best practices regarding a firm’s response to enforcement issues, including coordination with counsel and fundamental privilege issues

Sponsored by

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 3:30 pm - 4:45 pm Melissa Hodgman Jessica Hopper Susan Schroeder

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