03.05.26
FINRA To Publish Its Enforcement Manual for First Time
by: Melanie Waddell
The Financial Industry Regulatory Authority (FINRA) plans to publish an enforcement manual, said enforcement head Bill St. Louis in a blog post. During a House Financial Services Capital Markets Subcommittee hearing, Chair Ann Wagner noted that the Securities and Exchange Commission recently updated its own enforcement manual and committed to annual revisions. Wagner questioned the importance of FINRA following a similar approach. FINRA said it already maintains extensive enforcement policies and intends to release a publicly available procedures manual to improve transparency.
Read the full article on Think Advisor