Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. And a disciplinary action is far from guaranteed at the outset of the process.
On this episode, Executive Vice President and Head of FINRA Enforcement Jessica Hopper walks us through the Enforcement process from referral to final outcome for all these possibilities and details the many steps along the way.
Resources mentioned in this episode:
FINRA Enforcement
Monthly Disciplinary Actions
Disciplinary Actions Online Database
Enforcement Process Chart
Office of Hearing Officers
Guide to Disciplinary Hearing Process
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