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

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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Written by:

Morgan Lewis
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