Nellie Hestin

Nellie Hestin

McGuireWoods LLP

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FINRA Enforcement Previews Initial CAT Enforcement Philosophy

On May 18, 2023, during an “Ask FINRA Senior Staff” panel held as part of FINRA’s 2023 Annual Conference, Christopher Kelly, Acting Head of FINRA Enforcement, provided a first look into how FINRA Enforcement intends to...more

5/22/2023  /  Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Reporting Requirements , Securities and Exchange Commission (SEC)
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