The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest, independent regulator of securities firms doing business in the United States, and part of the Securities Exchange Act of 1934���s interrelated and comprehensive system for regulating the securities markets. This book gives a comprehensive overview and practical advice to lawyers regarding one segment of FINRA���s disciplinary process���sanctions analysis.

Every year, FINRA files more disciplinary proceedings for securities violations than the SEC, the U.S. Department of Justice, and all other self-regulatory organizations combined. Though many are straightforward, others involve issues as complex as any pursued elsewhere due to the association���s expertise and knowledge of the industry. Though the issues FINRA confronts change rapidly with market developments, its disciplinary process for the most part remains constant.

A Practitioner���s Guide to FINRA Sanctions Analysis contains:

• Practical, in-depth knowledge any practitioner in front of FINRA should know and can immediately use;
• The historical development of various FINRA sanctions, with the purpose of understanding the basis for those sanctions;
• Limitations on FINRA���s ability to impose certain sanctions; and
• Much more!