Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,.
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement.
In first disciplinary action under Reg BI, FINRA fined broker $5,000, issued a six-month suspension from allegations broker engaged in excessive trading for outsized commissions. FINRA released Regulatory Notice 22-20 changing Sanctions Guidelines.
The Commodity Futures Trading Commission (CFTC or the Commission) released its enforcement results for fiscal year 2022 on October 20, 2022. The enforcement results detail the 82.