Law360, New York ( February 19, 2013, 3:48 PM EST) -- In 2012, the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority continued their vigorous enforcement of the securities laws, rules, and regulations — with cases against broker-dealers, investment advisers, and investment companies accounting for 38 percent of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons....
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