{"id":1185,"date":"2021-11-10T17:54:47","date_gmt":"2021-11-10T17:54:47","guid":{"rendered":"http:\/\/localhost\/?p=1185"},"modified":"2021-11-10T17:54:47","modified_gmt":"2021-11-10T17:54:47","slug":"shaken-stirred-and-sanctioned-sec-finra-and-007-enforcement-actions","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/11\/10\/shaken-stirred-and-sanctioned-sec-finra-and-007-enforcement-actions\/","title":{"rendered":"Shaken, Stirred and Sanctioned: SEC, FINRA and 007 Enforcement Actions"},"content":{"rendered":"<p>If you think about it (through, say, X-ray sunglasses), James Bond movies are like securities enforcement actions: good guys, bad guys, government agencies, self-regulators (of sorts), rules, compliance officers (sometimes referred to as Dr. No), technology, money, and opening credits music. (Well, maybe not the latter.)<\/p>\n<p>In this month\u2019s enforcement update in <a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdErKJEmK3!\/fileUpload.name=\/Shaken%20Stirred%20and%20Sanctioned.pdf\">NSCP <em>Currents<\/em><\/a>, starring Bond, James Bond, 007, British secret service agent and the hero of multiple books and 25 movies,\u00a0<a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian Rubin<\/a>\u00a0and\u00a0<a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Bria-M-Adams\">Bria Adams<\/a> review SEC and FINRA enforcement actions brought in August and September.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>If you think about it (through, say, X-ray sunglasses), James Bond movies are like securities enforcement actions: good guys, bad guys, government agencies, self-regulators (of sorts), rules, compliance officers (sometimes referred to as Dr. No), technology, money, and opening credits music. (Well, maybe not the latter.) In this month\u2019s enforcement update in NSCP Currents, starring &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/11\/10\/shaken-stirred-and-sanctioned-sec-finra-and-007-enforcement-actions\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Shaken, Stirred and Sanctioned: SEC, FINRA and 007 Enforcement Actions<\/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":[24,22],"tags":[],"class_list":["post-1185","post","type-post","status-publish","format-standard","hentry","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"If you think about it (through, say, X-ray sunglasses), James Bond movies are like securities enforcement actions: good guys, bad guys, government agencies, self-regulators (of sorts), rules, compliance officers (sometimes referred to as Dr. No), technology, money, and opening credits music. (Well, maybe not the latter.) In this month\u2019s enforcement update in NSCP Currents, starring\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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