From the program: Broker/Dealer Regulation and Enforcement 2013
Recorded on: Oct. 24, 2013
Taken from the Web Program Broker/Dealer Regulation and Enforcement 2013 recorded October, 2013 in New York.Lecture Topics [01:32:38]SEC, CFTC, DOJ and SRO Enforcement [01:32:38]Senior regulators will discuss their enforcement initiatives, developments and priorities.
Significant SEC, CFTC and DOJ enforcement initiatives
FINRA rules, examinations and enforcement
Ponzi schemes, microcap fraud, insider trading, structured products, ...