Joseph Dever and Linda Riefberg Discuss the Burden of FINRA and SEC Exams in Bloomberg Brief

Friday, September 26, 2014

In an article titled “Regulatory Exams May Push Small Firms to Deregister or Restructure, Attorneys Say,” Joseph Dever and Linda Riefberg, members of Cozen O’Connor’s Commercial Litigation Department, discuss the burden of FINRA and SEC exams and the impact of the SEC’s “broken window” policy on smaller firms. They told Bloomberg’s Melissa Karsh that the cost to comply with longer and more extensive enforcement exams by U.S. regulators could drive smaller firms out of the market.


Joseph Dever

Chair, Securities Litigation & SEC Enforcement

(212) 453-3916


Related Practice Areas

Keep up-to-date with the latest news from Cozen O'Connor

Enter your City or Zip.

Probably shouldn't change this:
Sign up to receive alerts, publications, and event / webinar invites.

By submitting your contact information, you are giving Cozen O'Connor consent to contact you via email.