Regulatory Updates: Roundup of 2020’s Most Impactful FINRA and SEC Violations and Penalties

Throughout the year, we provide summaries of key FINRA and SEC actions taken on firms and their employees for compliance violations. We highlight important insights and recommendations to solve compliance challenges and help reduce risk and liability.

In 2020, employees are working more remotely due to the coronavirus pandemic. Firms have adjusted by adopting a greater variety of communication tools to stay connected. 

This roundup highlights how firms should consider, preserve and supervise electronic communications for compliance with FINRA and the SEC.

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