FINRA Annual 2023: Enforcement trends and new perspectives

A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.

This well attended and extremely insightful session was chaired by Lisa Colone, VP Enforcement at FINRA, and included Gurbir Grewal (GG), Director, Division of Enforcement, SEC, and Chris Kelly (CK), acting head of enforcement at FINRA and Senior VP.

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