February 19, 2014

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Michele Coffey, John Cosgriff, James Doench, Mary Dunbar, Ariel Gursky, Ivan Harris, Ben Indek, Christine Lombardo, Ignacio Sandoval

Morgan Lewis

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Table of Contents:

Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority.

Executive Summary -

This Outline highlights key U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement developments and cases regarding broker-dealers, investment advisers, and investment companies during 2013.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.