Takeaways from FINRAs Revised Sanction Guidelines
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 also deleted 20 prior infrequently used guidelines.
Department Of Enforcement Financial Industry Regulatory Authority Compliance Program Research Analysts Sanction Guidelines Regulatory Notice
Source: natlawreview.com