Michael Watling

Michael Watling

King & Spalding

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Above and Beyond: FINRA Clarifies Its Approach to Assessing Extraordinary Cooperation

FINRA yesterday issued long-anticipated guidance concerning credit for extraordinary cooperation in the context of enforcement investigations. Like its government counterparts, FINRA hopes to incentivize member firms that go...more

7/12/2019  /  Cooperation , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , New Guidance , Remedial Actions , Restitution , Securities and Exchange Commission (SEC) , Self-Reporting , Transparency

FINRA Incentivizes Member Firms to Self-Report and Remediate 529 Plan Deficiencies

On January 28, 2019, FINRA announced a novel leniency initiative that will offer no-fine enforcement resolutions for member firms that self-report supervisory deficiencies related to recommendations of 529 savings plans and...more

2/4/2019  /  529 Plans , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Registered Representatives , Securities and Exchange Commission (SEC) , Self-Disclosure Requirements , Self-Reporting , Share Class Selection Disclosure Initiative (SCSD) , Share Classes
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