• Webinars

SEC and FINRA Enforcement

  • CLE Eligible

Individual Webinar

Purchase and watch the individual webinar at your convenience.

$79 for members | $99 for non-members.

Workshop 2023 Bundle

Purchase a bundle of all 19 recorded sessions from the Workshop 2023 and save.


This panel will examine recent and notable SEC and FINRA Enforcement actions and provide an overview of the priorities of the SEC’s Public Finance Abuse Unit and FINRA. The panel will also provide an overview of the investigation process for the SEC and FINRA.