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BCLP

Implications of FINRA’s Recently Released 2022 Sanction Guidelines

BCLP on

FINRA’s recent overhaul of its Sanction Guidelines is the largest and most significant in two, if not three, decades. It would be quite the understatement to say that the time had come for FINRA to make a much-needed change...more

Katten Muchin Rosenman LLP

Six Takeaways From FINRA's Revised Sanction Guidelines

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority (FINRA) Sanction Guidelines have been significantly revised, now giving FINRA discretion to impose considerably higher fines on mid- and large-size firms. The revisions, published...more

UB Greensfelder LLP

FINRA AWC Includes Waiver Of A Fine: Is This A Sign Of Good Things To Come?

UB Greensfelder LLP on

Way back in 2006, NASD issued Notice to Members 06-55, which tweaked the Sanction Guidelines to allow not just the size of the firm to be taken into consideration when determining the appropriate sanctions to be meted out,...more

A&O Shearman

UK Brokerage Firm Fined for Inadequate Controls Against Potential Market Abuse

A&O Shearman on

The U.K. Financial Conduct Authority has published a Decision Notice (dated June 7, 2018) imposing a fine of £409,300 on a U.K. brokerage firm for failure to take reasonable care to organize and control its affairs...more

Eversheds Sutherland (US) LLP

FINRA’s Projected 2015 Fines: Not Keeping Pace With 2014’s Total, But Still a Blockbuster Year

Eversheds Sutherland (US) LLP on

Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million...more

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