General Session Keynote Panel: SEC & FINRA Enforcement Priorities

Enforcement staff from both FINRA and the SEC will discuss current priorities and recent enforcement proceedings relating to broker-dealers, investment advisers, investment companies, and private funds.  The regulatory panelists will provide insight into the following areas of enforcement: off-channel communications, artificial intelligence, cybersecurity, Risk Alert topics and sweep exams leading to enforcement actions, and self-reporting.

This panel is open to both regulators and members of the press.

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