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....
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