A Practitioner's Guide to FINRA Sanctions Analysis

    By Rory C Flynn

    A Practitioner's Guide to FINRA Sanctions Analysis

    A Practitioner's Guide to FINRA Sanctions Analysis

    By Rory C Flynn

    Gain a comprehensive overview and practical advice regarding one segment of FINRA’s disciplinary process—sanctions analysis. This book contains the historical development of various FINRA sanctions, limitations on FINRA’s ability to impose certain sanctions, and much more. A unique resource on securities regulation for the new and experienced practitioner.

    A Practitioner's Guide to FINRA Sanctions Analysis

    By Rory C Flynn

    A Practitioner's Guide to FINRA Sanctions Analysis

    A Practitioner's Guide to FINRA Sanctions Analysis

    By Rory C Flynn

    Gain a comprehensive overview and practical advice regarding one segment of FINRA’s disciplinary process—sanctions analysis. This book contains the historical development of various FINRA sanctions, limitations on FINRA’s ability to impose certain sanctions, and much more. A unique resource on securities regulation for the new and experienced practitioner.

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    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!


    The book assumes a panel held a hearing, found liability, and is assessing sanctions. However, the same analysis may be used during settlement negotiations to determine what sanctions might realistically be imposed and enforced. A Practitioner’s Guide to FINRA Sanctions Analysis offers a unique perspective both to experienced attorneys and attorneys new to the practice of securities regulation.

     

    Product Details

    Authors

    Rory C Flynn

    Publishers

    ABA Book Publishing

    ISBN

    9781627229746

    UPC Code

    9781627229746

    Page Count

    192

    Product Code

    5070685

    Trim Size

    6x9 Paperback

    Publication Date

    6/11/2015 12:00:00 AM

    Authors

    Rory C Flynn

    Publishers

    ABA Book Publishing

    ISBN

    9781627229753

    UPC Code

    9781627229753

    Page Count

    192

    Product Code

    5070685EBK

    Trim Size

    6x9

    Publication Date

    6/29/2015 12:00:00 AM

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