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Regulatory Updates: Roundup of 10 Recent FINRA and SEC Violations and Penalties

The SEC and FINRA have been hard at work enforcing communications supervision and compliance regulations throughout the financial services industry.

Every month, our Corporate Counsel and Regulatory Advisor Marianna Shafir summarizes the FINRA and SEC actions taken on firms and employees due to compliance violations. Marianna also provides important insights and recommendations to solve compliance challenges and help reduce risk and liability.

In this report, we review 10 of the most notable violations to better understand how they occurred, as well as how firms are managing enhanced SEC and FINRA scrutiny.