Joshua Watts

Joshua Watts

BCLP

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Observations from a Review of FINRA’s 2021 Sanction Guidelines

Key Takeaways: ..FINRA released its most recent Sanctions Guideline, effective immediately, on October 20, 2021. A link to that document can be found here. ..The key change in the 2021 Sanctions Guideline is a new...more

12/6/2021  /  Broker-Dealer , Civil Monetary Penalty , Compliance , Consolidated Audit Trail , Enforcement Guidance , Financial Industry Regulatory Authority (FINRA) , Penalties , Reporting Requirements , Risk Management , Securities and Exchange Commission (SEC)
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