Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, December 17, 2010

FINRA Gives its 2010 Performance High Marks

FINRA released its FINRA 2010 Year in Review and gave itself many pats on the back for its performance.  Acording to the report's introduction:

The Financial Industry Regulatory Authority (FINRA) significantly expanded and enhanced its investor protection and market regulation capabilities in 2010 in each of the areas central to its investor protection mission, including: market and firm regulation, transparency, registration and disclosure, dispute resolution and investor education. FINRA's work progressed amid continuing changes sweeping financial markets, ongoing economic challenges and the implementation of a new industry regulatory framework.

Other Regulatory Action | Permalink

TrackBack URL for this entry:

Listed below are links to weblogs that reference FINRA Gives its 2010 Performance High Marks:


Post a comment