A Few New Enforcement Priorities For FINRA

Law360, New York (January 31, 2013, 1:58 PM EST) -- The enforcement mission of the Financial Industry Regulatory Authority is, by design, a public one. Not only does it publicize the filing, settlement and adjudication of cases it brings against regulated persons and entities, it also regularly communicates with its membership and the public regarding its goals. As such, there are two basic sources of information about examination and enforcement priorities. The first source is FINRA’s annual examination priorities letter. The second source is the information FINRA makes public about its disciplinary actions.

The Priorities: The...
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