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SEC and FINRA Enforcement Priorities for 2018

Tuesday, February 13, 2018 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


Audience members will hear from key local SEC and FINRA personnel on their agencies’ enforcement and regulatory priorities going into 2018. There will be opportunities for questions and active participation. This panel should be of interest to in house and outside legal counsel as well as compliance professionals and others at investment advisories, broker dealers, hedge funds, and public companies.

Registration Categories:
BBA Member – Free. Included as part of your membership.
Non-Member - $100.00

Sponsoring Section/Committee(s):




Julia Carvalho


BBA Event Calendar