A Practitioner's Guide to FINRA Sanctions Analysis

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ISBN: 9781627229753
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The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest, independent regulator of securities firms doing business in the United States, and part of the Securities Exchange Act of 1934's interrelated and comprehensive system for regulating the securities markets. This book gives a comprehensive overview and practical advice to lawyers regarding one segment of FINRA's disciplinary process—sanctions analysis. Every year, FINRA files more disciplinary proceedings for securities violations than the SEC, the U.S. Department of Justice, and all other self-regulatory organizations combined. Though many are straightforward, others involve issues as complex as any pursued elsewhere due to the association's expertise and knowledge of the industry. Though the issues FINRA confronts change rapidly with market developments, its disciplinary process for the most part remains constant. The book assumes a panel held a hearing, found liability, and is assessing sanctions. However, the same analysis may be used during settlement negotiations to determine what sanctions might realistically be imposed and enforced. A Practitioner's Guide to FINRA Sanctions Analysis offers a unique perspective both to experienced attorneys and attorneys new to the practice of securities regulation.