FINRA will host a live one-hour webinar on October 12, 2011(1:30 PM (EST)/ 10:30 AM (PT) examining recent enforcement actions against broker-dealers and registered representatives. The program will provide an overview of new developments and trends. In addition, panelists will discuss improving broker-dealer compliance programs by applying lessons learned from enforcement actions. See more....
http://www.finra.org/Industry/Education/OnlineLearning/Webinars/P124216?utm_source=onsite&utm_medium=button&utm_campaign=enforcement_case_trends
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