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SEC Practice and Procedure: Best Practices When the SEC Comes Knocking

The U.S. Securities and Exchange Commission (SEC) recently announced a number of record-breaking penalties and a 9% increase in the total number of enforcement actions for fiscal year 2022 with no signs of slowing down. This ethics-approved CLE session will provide an overview on SEC focus areas and will include pointers to ensure your compliance operations stand up to continued SEC scrutiny, whether warranted or otherwise.

Jan 18, 2023 12:00 PM in Pacific Time (US and Canada)