Increase in Dispute Filings and Regulatory Enforcement natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
At the start of this year, FINRA released its 2024 FINRA Annual Regulatory Oversight Report. As with previous oversight reports, broker-dealers can use the 2024 report to glean.
With the close of FINRA's fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in the coming year.
FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain.
With the close of FINRA’s fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in.