Review Of 2015 SEC Actions Against Broker-Dealers: Part 3

Law360, New York (December 17, 2015, 11:08 AM EST) -- This is the concluding section of our three-part article on significant U.S. Securities and Exchange Commission enforcement actions against broker-dealers in 2015. Part 1 covered 10 significant enforcement trends as well as SEC enforcement actions involving trading practices. Part 2 covered pricing-related enforcement actions as well as enforcement actions involving allegations of fraud, misrepresentations or omissions. In part 3, we cover the remaining areas — insider trading, broker-dealer registration issues, improper extensions of credit, inadequate supervision of outside business activities, inaccurate blue sheet responses, cybersecurity and anti-corruption violations....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!