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ON DEMAND: SEC and FINRA Continue To Expand Use of Big Data - What Does This Mean for The Securities Bar?

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Credit: 0 Credit Hours

Run Time: 73 Minutes 

**This is a previously recorded program, originally on January 16, 2020.

In the 10 years since the SEC began to leverage data in investigations, much has changed, as technology improves and regulators and industry participants alike leverage this technology.  Beginning with the SEC formation of the Division of Economic and Risk Analysis in 2009, and closely followed by the SEC Enforcement Division creating both the Market Abuse Unit and the Division's Center for Risk and Quantitative Analytics, the SEC has spent several years refining how it utilizes data in investigations.   In the meantime, FINRA's surveillance efforts have also expanded and led to additional enforcement efforts. Join us for a panel discussion on how the SEC and FINRA are leveraging data, what this means for the securities bar, and for the protection of investors.

Sponsored by: D.C. Bar Corporation, Finance and Securities Law Community
 
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Speakers:
  • David Bennett, Senior Counsel, SEC Division of Enforcement
  • Robert A. Cohen, Davies Polk & Wardell LLP
  • Sam Draddy, SVP, FINRA Office of Fraud Detection and Market Intelligence
  • Deborah Meshulam, DLA Piper LLP (Moderator)
 
On Demand Registration Fees **discounted pricing offered for a limited time
$10 D.C. Bar Law Student Community Member
$20 D.C. Bar Corporation, Finance and Securities Law Community Member
$20 Government/Nonprofit
$30 D.C. Bar Member
$50 Non-member
 
Please select Individual Registration to register. 
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