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 again brought a...
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.