Securities Law Prof Blog

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

A Member of the Law Professor Blogs Network

Monday, February 28, 2011

Sutherland Releases Annual Survey of FINRA Sanctions

Sutherland Asbill & Brennan LLP announced that it completed its annual Sutherland FINRA Sanction Study – a review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons.  The Study found that in 2010 FINRA reported a significant increase in the number of cases despite a slight decrease in the total amount of fines.  Sutherland also identified the top enforcement issues for FINRA in 2010, as well as trends in enforcement cases.

http://lawprofessors.typepad.com/securities/2011/02/sutherland-releases-annual-survey-of-finra-sanctions.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef014e5f8c7c28970c

Listed below are links to weblogs that reference Sutherland Releases Annual Survey of FINRA Sanctions:

Comments

Post a comment