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Stories of Interest
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
- A Culprit for Financial Site Glitches: You and Your Apps
- Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
- We Must Stop Out-Of-Control Trading or U.S. Capitalist System Will Break Down - Dick Bove
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NEWSLETTERS & ALERTS
FINRA Publishes Revised Sanction Guidelines
The newly revised FINRA Sanction Guidelines is available and effective immediately. The changes reflect recent developments in the disciplinary process, comport with changes in FINRA’s rules, and accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings.
- establish a new factor requiring that the exercise of undue influence over a customer be considered for all violations addressed by the
- introduce 3 new Sanction Guidelines: (i) Systemic Supervisory Failures; (ii) Short Interest Reporting; and, (iii) Borrowing From or Lending to Customers;
- present a new factor related to the mitigative effect of regulator or firm-imposed sanctions and corrective action;
- amend 12 sections of the Sanction Guidelines to revise sanctions for more serious FINRA rule violations; and,
- harmonize the Sanction Guidelines to the relevant precedent, prior amendments to the Sanction Guidelines, and FINRA’s rulebook consolidation process.
Direct your questions to:
- Alan Lawhead, Office of General Counsel, at (202) 728-8853; and,
- Jante Turner, Office of General Counsel, at (202) 728-8317.