FINRA Files Proposal to Adopt Cease and Desist Authority Pilot Program on Permanent Basis | Practical Law

FINRA Files Proposal to Adopt Cease and Desist Authority Pilot Program on Permanent Basis | Practical Law

An update on a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.

FINRA Files Proposal to Adopt Cease and Desist Authority Pilot Program on Permanent Basis

by PLC Corporate & Securities
Published on 18 May 2009 • USA (National/Federal)
An update on a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.