Inside FINRA Enforcement: What Firms Need To Know
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Inside FINRA Enforcement: What Firms Need To Know
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Unlock the secrets of navigating FINRA's complex enforcement landscape with former enforcement officials Lisa Colon and Chris Kelly, who now provide defense counsel to broker-dealers. Drawing on their rich experience at FINRA and current roles at CSG Law, Lisa and Chris share their perspectives on the current state of FINRA enforcement in the securities industry. We discuss the statistics of previous enforcement actions, the importance of strategic cooperation, and the reality of FINRA credit for cooperation.
Key topics include:
- 2024 enforcement action analysis
- Importance of proactive strategies in handling investigations
- Distinction between mandatory self-reporting and extraordinary cooperation
- Navigating the centralized process for enforcement referrals
- Key factors that influence enforcement outcomes and credit for cooperation
- Recommendations for improving compliance and engaging with regulators
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