Principal FINRA Disciplinary Rules: Obligations to FINRA | Practical Law
A Practice Note providing an overview of the principal disciplinary rules of the Financial Industry Regulatory Authority (FINRA) that concern members' and associated persons' obligations to FINRA. Specifically, the Note summarizes the obligations, specifies the common disciplinary action respondent (firm or individual), describes the sanctions FINRA recommends if it finds a violation, and briefly discusses recent illustrative disciplinary actions and settlements.