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  • SEC Regulation Outside the United States, Conference (23 June 2017)
  • SEC Basics, Workshop (22 June 2017)
  • SEC and NFA Examinations, Workshop (22 June 2017)

Compliance and Enforcement

14:40 - 15:40
January 1, 1970

How far is the reach of the SEC. Update on the latest trends in SEC enforcement actions.

  • Trends in SEC enforcement actions
  • The reach of SEC jurisdiction
  • New and emerging regulation

Speakers

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