{"id":1084,"date":"2020-11-12T18:12:59","date_gmt":"2020-11-12T18:12:59","guid":{"rendered":"http:\/\/localhost\/?p=1084"},"modified":"2021-02-09T18:18:22","modified_gmt":"2021-02-09T18:18:22","slug":"not-dead-yet-just-flesh-wounds-suspensions-and-fines-sec-cftc-and-finra-enforcement-actions-in-september-2020","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/11\/12\/not-dead-yet-just-flesh-wounds-suspensions-and-fines-sec-cftc-and-finra-enforcement-actions-in-september-2020\/","title":{"rendered":"Not Dead Yet: Just Flesh Wounds, Suspensions, and Fines (SEC, CFTC, and FINRA Enforcement Actions in September 2020)"},"content":{"rendered":"<p>The Holy Grail. Knights who say \u201cNi.\u201d The list goes on and on. (Wink wink, nudge nudge, say no more.) Monty Python, the comedy group, is known for a lot of things. However, what most people don\u2019t know is that if you watch their movies, TV shows and Broadway musical very carefully, you\u2019ll actually learn a lot about compliance and securities enforcement.<\/p>\n<p>To understand what Monty Python can teach us about the SEC, CFTC and FINRA enforcement actions brought in September 2020,\u00a0 read more<a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEr03Cma3!\/fileUpload.name=\/NSCP%20Currents%20October%202020%20REPRINT%20Rubin%20Gordon.pdf\"> here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Holy Grail. Knights who say \u201cNi.\u201d The list goes on and on. (Wink wink, nudge nudge, say no more.) Monty Python, the comedy group, is known for a lot of things. However, what most people don\u2019t know is that if you watch their movies, TV shows and Broadway musical very carefully, you\u2019ll actually learn &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2020\/11\/12\/not-dead-yet-just-flesh-wounds-suspensions-and-fines-sec-cftc-and-finra-enforcement-actions-in-september-2020\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Not Dead Yet: Just Flesh Wounds, Suspensions, and Fines (SEC, CFTC, and FINRA Enforcement Actions in September 2020)<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24],"tags":[],"class_list":["post-1084","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1084","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1084"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1084\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1084"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1084"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1084"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}