Enforcement: Targets and Tips on Negotiating a Settlement


Securities Enforcement and Investment Management


Partner Daniel Nathan will be a panelist for BD Week’s program addressing regulators’ hot targets for enforcement. Program highlights include:

  • Hot enforcement targets of the SEC and FINRA
  • Tips on negotiating settlement language with a regulator
  • Factors to consider when deciding whether to challenge an enforcement action as opposed to settle
  • What to weigh when deciding whether to self-report

For more information, please click here.

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