From the program: Broker/Dealer Regulation and Enforcement 2015
Recorded on: Nov. 12, 2015
Taken from the Web Program Broker/Dealer Regulation and Enforcement 2015 recorded November, 2015 in New York.
SEC, CFTC, DOJ and SRO Enforcement [01:36:12]
Senior regulators will discuss their enforcement initiatives, developments and priorities.
Significant SEC, CFTC and DOJ enforcement initiatives
FINRA rules, examinations and enforcement
Conflicts of Interest, microcap fraud, insider trading, hedge funds and private equity, ...