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Keywords: Disciplinary action
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 1–5.
Published: 21 August 2019
...Brian Rubin; Adam Pollet Purpose To analyze FINRA’s 2018 disciplinary actions, the issues that resulted in the most significant fines and restitution, and the emerging enforcement trends from 2018 and beyond. Design/methodology/approach Discusses the disciplinary actions in 2018 and prior...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (2): 19–23.
Published: 19 July 2018
...Brian Rubin; Adam Pollet Purpose The purpose of this paper is to analyze the Financial Industry Regulatory Authority’s (FINRA) 2017 disciplinary actions, the issues that resulted in the most significant fines and restitution and the emerging enforcement trends from 2017 and beyond. Design...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (2): 1–8.
Published: 03 July 2017
... and disciplinary actions in 2016 and prior years; details the top 2016 enforcement issues measured by total fines assessed, including anti-money laundering, variable annuities, trade reporting, books and records, and unregistered securities; explains current enforcement trends, including fines of $1 million...
