Select SEC and FINRA Cases and Developments: 2012 Year in Review

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.



http://www.jdsupra.com/legalnews/select-sec-and-finra-cases-and-developme-58887/