1d. All – Enforcement Trends Uncovered: Patterns, Priorities & Practical Takeaways from SEC and FINRA Actions

Monday
Written By Meghan Flanagan

As regulatory scrutiny intensifies, staying ahead of enforcement trends is more critical than ever. This session brings together compliance, legal, and regulatory thought leaders to analyze the evolving landscape of SEC and FINRA enforcement activity. Rather than a case-by-case review, we’ll focus on broader patterns, priorities, and strategic shifts emerging from recent actions.

Featured
Ranah Esmaili (Moderator)
Ranah Esmaili (Moderator)

Partner

Sidley Austin LLP

Jim Lundy
Jim Lundy

Partner

Foley & Lardner

Brian Rubin
Brian Rubin

Partner

Eversheds Sutherland

Meghan Flanagan
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1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate)