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BBA Webinar: The Regulators Respond to COVID-19: What the SEC and FINRA are Doing Now - and Planning for Later

Tuesday, June 30, 2020 12:00 PM to 1:00 PM


The BBA presents live webinars via Zoom. Access to this program is free, included as part of your member benefit. Please register for this program through your BBA account to receive the Zoom webinar link.  In order to receive the Zoom webinar link, you must register at least two hours before the start time of the program.

A webinar panel of SEC and FINRA attorneys will discuss the current steps each agency is taking to achieve its mission during the pandemic, including remote exams and testimony, enhanced monitoring, and other actions during social distancing.  In addition, the panel will discuss how each agency is planning to address the expected wave of fraud and related misconduct relating to the pandemic and economic conditions.   Topics will include:

  • Conducting exams and enforcement investigations under social distancing guidelines
  • Efforts to monitor and charge individuals and entities engaging in insider trading and market manipulation during the pandemic
  • Planning for life after the pandemic: What the agencies are doing now to prepare for the expected wave of investigations and enforcement actions in the near future
  • Where to focus:  the types of conduct the regulators expect to focus on in the near future.
  • Best practices:  What the regulators expect companies to be doing now, and in the future, relating to the pandemic and market conditions.

BBA Webinars are supported by the Joan B. DiCola Fund. The fund was founded in 2015 in memory of Joan B. DiCola to support the programs and initiatives that foster the education and professional development of lawyers and law students. To support this fund contact Erica Southerland at

Sponsoring Section/Committee(s):




Stiv Mucollari


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