2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Executive Summary -

The Morgan Lewis Year in Review highlights key US 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.*

THE SEC -

During 2016, and in the period following the presidential election, there have been significant personnel changes at the SEC. The Commission’s composition was stable during the fiscal year, but Chair Mary Jo White announced her departure with the end of President Obama’s term, leaving the Commission down three members, as of this writing, awaiting the confirmation of President Trump’s nominee for Chair. Further, significant transitions are underway in multiple senior staff positions, with acting directors in place in various divisions and offices.

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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.

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