SEC Approves FINRA's Extension of Authority Under the Cease and Desist Pilot Program | Practical Law

SEC Approves FINRA's Extension of Authority Under the Cease and Desist Pilot Program | Practical Law

An update on the SEC's approval of a proposed Financial Industry Regulatory Authority (FINRA) to extend its authority under its cease and desist pilot program.

SEC Approves FINRA's Extension of Authority Under the Cease and Desist Pilot Program

Practical Law Legal Update 9-386-2614 (Approx. 2 pages)

SEC Approves FINRA's Extension of Authority Under the Cease and Desist Pilot Program

by PLC Corporate & Securities
Published on 05 Jun 2009 • USA (National/Federal)
An update on the SEC's approval of a proposed Financial Industry Regulatory Authority (FINRA) to extend its authority under its cease and desist pilot program.