SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent | Practical Law

SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent | Practical Law

An update on the SEC's approval of a proposed rule change by FINRA to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.

SEC Approves FINRA Rule Change to Make Its Cease and Desist Authority Pilot Program Permanent

by PLC Corporate & Securities
Published on 17 Jul 2009 • USA (National/Federal)
An update on the SEC's approval of a proposed rule change by FINRA to adopt its pilot program authorizing it to issue and enforce cease and desist orders on a permanent basis.