This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process.

After attending this session, you will be able to:

• Discuss Enforcement’s structure and the way it works with other FINRA departments.
• Summarize key principles that guide Enforcement outcomes, including risk-based decision-making, restitution to customers, and avoiding regulatory duplication.
• Discuss recent Enforcement matters, and how they reflect FINRA’s priorities, including individual liability and credit for extraordinary cooperation.
• Understand and implement effective responses to regulatory inquiries and rule violations.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.