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Enforcement › Disciplinary Proceedings

Davis Wright Tremaine LLP

FINRA's Focus on Compliance With Market Integrity Rules

Davis Wright Tremaine LLP on

FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain key regulatory issues that are under...more

Bracewell LLP

FINRA Facts and Trends: July 2022

Bracewell LLP on

Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA - June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm...more

Morrison & Foerster LLP

FINRA’s Revised Sanction Guidelines: Higher, Tougher, Fairer?

Morrison & Foerster LLP on

FINRA’s newly revised Sanction Guidelines, effective immediately, signal that the upward trend in sanctions against broker-dealers is likely to continue. The Sanction Guidelines, which establish the range of sanctions...more

Katten Muchin Rosenman LLP

FINRA Adds a Category of Persons to Serve on Disciplinary Hearings

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority amended FINRA Rules 9231 and 9232 to add a category of persons eligible to serve as panelists in a disciplinary proceeding, which includes persons who currently serve or previously...more

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