2017 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 -

In Fiscal Year 2017 (FY 2017), as well as the months since, there has been significant personnel transition at the SEC, and during this period we also have seen legal developments and changes to technology that are likely to impact how the Agency operates for many years to come.

Please see full Issue below for more information.

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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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