Definition, Benefits, and Best Practices
SEC Fines Firms $1.1B for Texting Record-Keeping Failures

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The Securities and Exchange Commission is fining 15 broker/dealers and one affiliated investment advisor $1.1 billion to settle charges of “widespread and long-standing failures” when it comes to the firms’ communication practices.


Mark Opila

Mark Opila

Accomplished executive leader adept at revitalizing underperforming operations, securing and managing key account relationships, and driving business growth goals. CEO of Patrina, responsible for corporate financial activities, all legal compliance, and shareholder communication.

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