Burr & Forman

FINRA

11.5.2015 | Kip A. Nesmith

FINRA’s Cancelled CARDS

A little over one year ago, the Financial Industry Regulatory Authority (FINRA) announced a proposal to increase substantially its collection of brokerage data. That proposal,…

05.14.2015 | Thomas K. Potter III

FINRA Revises Sanction Guidelines

The Financial Industry Regulatory Authority's disciplinary appellate body (the National Adjudicatory Council or NAC) has revised the Sanction Guidelines used to determine penalties in enforcement…