
Daniel Nelson
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FINRA recently released updated and revised Sanction Guidelines and an accompanying Regulatory Notice that, among other things, call for stricter penalties against broker-dealers who commit fraud or violate suitability rules. The revisions are effective as of May 12, 2015. The Sanction Guidelines, first published in 1993, are intended to assist FINRA’s adjudicators in determining the … Continue Reading
FINRA Introduces Revised Sanction Guidelines
By Daniel Nelson, Harry Frischer and Philip Arnold on Posted in Financial Services, Securities Regulatory