TITLE

SEC and SRO Enforcement Developments Regarding Broker-Dealers

PUB. DATE
October 2011
SOURCE
Venulex Legal Summaries;2011 Q4, Special section p1
SOURCE TYPE
Law
DOC. TYPE
Article
ABSTRACT
The article discusses enforcement developments and cases regarding broker-dealers at the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) in 2011. Some of the important enforcement developments at the SEC are the first-ever deferred prosecution agreement and the finalization of the whistleblower rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act. Also discussed are enforcement program at FINRA.
ACCESSION #
71150927

 

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