National Adjudicatory Council Enhances FINRA's Sanction Guidelines
September 30, 2022
September 30, 2022
WASHINGTON, Sept. 30 -- The Financial Industry Regulatory Authority issued the following news release on Sept. 29, 2022:
FINRA announced today that the National Adjudicatory Council (NAC) has made significant improvements to the Sanction Guidelines to ensure that they accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings and serve as an efficient resource for member firms, individuals and adjudicators.
The NAC is FINRA's appellate tribunal . . .
FINRA announced today that the National Adjudicatory Council (NAC) has made significant improvements to the Sanction Guidelines to ensure that they accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings and serve as an efficient resource for member firms, individuals and adjudicators.
The NAC is FINRA's appellate tribunal . . .