On-Demand Session: SEC and FINRA Enforcement

The Workshop 2023 Recorded Session: SEC and FINRA Enforcement
This panel will examine recent and notable SEC and FINRA Enforcement actions and provide an overview of the priorities of the SEC’s Public Finance Abuse Unit and FINRA.  The panel will also provide an overview of the investigation process for the SEC and FINRA.
Registration
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Registration Instructions

  1. Login to your NABL account.
  2. Click the “Register Myself” button.
  3. Select your Registration Option(s).
  4. Click "Proceed to Checkout" where you will be redirected to the shopping cart page. Enter your payment information and click “Submit Order.”
  5. An order confirmation will appear on the screen and be emailed to the address of the account. NABL On-Demand registrants will receive instructions on how to access their purchased event via email.