Recorded on: Nov. 2, 2012
Taken from the Web Program Broker/Dealer Regulation and Enforcement 2012 Recorded October, 2012 in New York
SEC, CFTC, DOJ and SRO Enforcement [01:38:52]
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, Foreign Corrupt Practices Act, structured ...