From the program: Broker/Dealer Regulation and Enforcement 2014
Taken from the Web Program Broker/Dealer Regulation and Enforcement 2014 recorded October, 2014 in New York.
SEC, CFTC, DOJ and SRO Enforcement [01:36:41]
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, alternative investments, ...