Securities Law Prof Blog

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

A Member of the Law Professor Blogs Network

Tuesday, March 13, 2012

Sutherland Asbill Reports Increase in FINRA Disciplinary Actions

Sutherland Asbill & Brennan LLP has posted its annual FINRA Sanctions Survey, a review of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA), on its website. The Survey reports that in 2011 FINRA reported a significant increase in the number of disciplinary actions filed and the total fines imposed.  These increases followed a substantial increase in the number of cases reported in 2010.  Sutherland also identified the top enforcement issues for FINRA in 2011, as well as emerging trends.

http://lawprofessors.typepad.com/securities/2012/03/sutherland-asbill-reports-increase-in-finra-disciplinary-actions.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef016763c1332b970b

Listed below are links to weblogs that reference Sutherland Asbill Reports Increase in FINRA Disciplinary Actions:

Comments

Post a comment