ARTICLE · 18 FEBRUARY 2013

Select SEC And FINRA Cases And Developments: 2012 Year In Review

Morgan Lewis

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In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations.

United StatesCorporate/Commercial Law

Morgan Lewis' Securities Practice

In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.

The Morgan Lewis Securities Litigation and Enforcement and Investment Management Practices have published an outline highlighting key U.S. Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers, investment advisers, and investment companies during 2012. ¹

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