2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

• Published date: 01 March 2017
• Law Firm: Morgan Lewis
• Author: Ignacio A. Sandoval,Michele Coffey,Ben Indek,Jennifer Klass,Mary Dunbar,Merri Jo Gillette,Ariel Gursky,Kerry Land,Christine Lombardo,Nicholas Losurdo,Brian Baltz,Timothy Burke,Amy Greer,Matthew Bohenek,Bruno Campos,Elizabeth Hays,Grant MacQueen,Eric Perelman,Sarah Paige,Anna Sandor,Martin Hirschprung,Robert Thompson,Zoe Rosenthal,Matthew McDonough,John Maloy,Olga Kamensky,Jessica Joy,Ashley Hamilton,Alyse Gramaglia,Melissa Feig,Arcangelo Cella,Elizabeth Buechner,Vanessa Brown,Michael Ableson,Daniel Ball
• Subject Matter: FINRA,SEC,FCPA,Whistleblowers,Investment Adviser,Short Sales,Conflicts of Interest,Disgorgement,Mutual Funds,Broker-Dealer,Enforcement Actions,Spoofing,Investment Companies,SEC Examination Priorities,Custody Rule,Anti-Money Laundering,Market Access Rule,Customer Protection Rule,Data Security,Senior Investors