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FINRA Fines Greatly Outpacing 2013 Rate

Friday, Aug 08 2014

Regulatory & Compliance

Written by PFA News

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An analysis by Sutherland, Asbill and Brennan LLP has concluded that the Financial Industry Regulatory Authority this year has been imposing fines at a rate that greatly exceeds the pace of 2013. So reports Financial Advisor.

At its current pace, the regulator will impose $85 million in fines this year, which would be a 49% increase from last year.

Read the full article from Financial Advisor.

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