A Snapshot Of 2012 SEC And FINRA Enforcement

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.

The following article highlights key SEC and FINRA enforcement developments regarding broker-dealers, investment advisers and investment companies during 2012.

The SEC

The SEC again brought a...
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