2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

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.


For a time in 2018, the Commission actually was fully staffed, with all five seats filled; but as we go to press in early 2019, with the year-end departure of Commissioner Kara M. Stein, the Commission is down one member, and the President has not yet appointed a nominee for the vacant Democratic seat. That said, Fiscal Year 2018 continued to be a time of significant change on the Commission, with the addition of three new Commissioners.

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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