The Evolution Of FINRA E-Mail Disciplinary Cases
In the Beginning
Firm: “We’ve got mail!”
Regulator: “We want it.”
In December 2002, the U.S. Securities and Exchange Commission, NASD (now, FINRA) and the New York Stock Exchange brought the first e-mail enforcement actions against five broker-dealers, finding that they violated Section 17(a), Rule 17a-4, NYSE Rule 440 and NASD Rule 3110 by failing...
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