SEC Director Peter Driscoll described the regulatory and operational challenges of delivering financial services during the pandemic, the issuance of alerts on pandemic and emergent risks (including on cybersecurity), and the roll out of Regulation Best Interest.
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FINRA published the findings of its broker-dealer examination program. The report is intended to aid firms in their efforts to bolster compliance with securities laws and regulations.
Morgan Stanley Smith Barney, LLC agreed to pay an $8 million penalty to settle SEC charges alleging that the firm, which was dually registered as an investment advisor and broker-dealer, had failed to implement written compliance policies and procedures.
The IOSCO Board reported on the status of the implementation of the G20/Financial Stability Board's post-crisis recommendations to strengthen securities markets.