From the program: Broker/Dealer Regulation and Enforcement 2012
Recorded on: Nov. 2, 2012
Taken from the Web Program Broker/Dealer Regulation and Enforcement 2012 recorded October, 2012 in New York.
Lecture Topics [01:38:07]
SEC, CFTC, DOJ and SRO Enforcement [01:38:07]
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, ...