FINRA Unveils Changes to Enforcement Program to Increase Transparency and Efficiency

The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader "FINRA Forward" initiative. FINRA believes these “common-sense improvements,” which follow similar updates from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) to their enforcement programs, will advance three core objectives: transparency, efficiency, and greater opportunities for member firms to be heard. By enabling... By: Katten Muchin Rosenman LLP