Paul Eckert

Paul Eckert

WilmerHale

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FINRA Issues New Guidance on Cooperation

On July 11, 2019, the Financial Industry Regulatory Authority (“FINRA”) restated and supplemented prior guidance regarding the circumstances under which FINRA will award credit for “extraordinary cooperation” in...more

7/16/2019  /  Cooperation , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Investigations , New Guidance , Remedial Actions , Restitution , Securities and Exchange Commission (SEC) , Self-Reporting , Transparency
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