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CLE: The Regulators Speak: 2022 Enforcement and Exam Priorities for the SEC and FINRA

Wednesday, June 8, 2022 4:00 PM to 6:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

To register for this event, please log in to the Boston Bar web site.

Description:

The regulators speak! Come hear representatives from the SEC and FINRA discuss trends and priorities for 2022. This panel discussion will cover both regulatory exams and enforcement actions. Topics to be addressed will include:

  • Examination and enforcement priorities for 2022
  • Thoughts on best practices for responding to regulatory exams in 2022
  • Promoting compliance: what the SEC and FINRA expect to see out of your compliance programs
  • Review of significant recent enforcement actions against entities and individuals
  • The latest on private funds, SPACs, ESG, crypto-assets, cybersecurity, crowdfunding, books and records retention requirements, and more

The panel will run from 4:00pm-6:00pm with a reception to follow.  

Registration Categories:
Premier Member - Free. Included as part of Membership
Premier Sponsor Firm / Government Lawyer/ Legal Services – Free. Included as part of Membership
BBA Member - $150.00
BBA Member - Legal Services/ Government Lawyer - $70.00
Non-Member - $250.00
Law Student - $30.00


For the safety of our members, staff, and the community, BBA programs are open only to those who abide by the BBA COVID PolicyPlease read the full policy here.  

Sponsoring Section/Committee(s):

Speakers:

 

Contact:

Devon Bettinson
dbettinson@bostonbar.org

 

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