PHILADELPHIA and NEW YORK, February 26, 2021: Morgan Lewis released its 15th annual 2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases, a comprehensive summary and analysis of US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) 2020 enforcement and examination developments, and notable broker-dealer and investment adviser cases that unfolded during the global COVID-19 pandemic.
In addition to addressing the SEC’s and FINRA’s modified enforcement approach as a result of the unprecedented pandemic, Year in Review and a Look Forward discusses important topics such as SEC enforcement under the Biden administration, the state of disgorgement as a remedy, and the whistleblower program’s record year, among other areas. The report also provides insight into the regulatory programs and priorities at FINRA, such as a continued focus on restitution and protecting vulnerable investors. Insightful “what to expect” analysis reveals core areas of focus for compliance officers and in-house counsel in the coming year.
Read the complete 2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases for observations and findings, including: