{"id":677,"date":"2017-07-25T17:00:38","date_gmt":"2017-07-25T17:00:38","guid":{"rendered":"http:\/\/localhost\/?p=677"},"modified":"2017-08-28T19:16:12","modified_gmt":"2017-08-28T19:16:12","slug":"a-record-breaking-year-for-finra-in-2016-what-may-come-in-2017","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/07\/25\/a-record-breaking-year-for-finra-in-2016-what-may-come-in-2017\/","title":{"rendered":"A Record-Breaking Year for FINRA in 2016; What May Come in 2017?"},"content":{"rendered":"

2016 will be remembered as an historic year: the Olympics, the Chicago-Cleveland World\u00a0Series, and the presidential election. In the regulatory world of FINRA, there was also an\u00a0historic year as FINRA continued its trend of ordering significant fines, shattering its
\nprevious record set in 2014. If firms and their representatives were not paying attention to\u00a0this trend, they should be now. Although some have speculated about a reduction in the\u00a0SEC\u2019s Enforcement program with the new administration,\u00a0FINRA shows no signs of slowing down. By analyzing FINRA\u2019s 2016 sanctions and cases, including the issues that resulted in the most significant fines and emerging enforcement trends, what predictions can we make about key issues for FINRA for 2017 and beyond?<\/p>\n

Read More Here<\/a><\/p>\n

Additional contributor to this post:<\/p>\n

Brian L. Rubin<\/a>,\u00a0brianrubin@eversheds-sutherland.com<\/a><\/p>\n

<\/div>\n","protected":false},"excerpt":{"rendered":"

2016 will be remembered as an historic year: the Olympics, the Chicago-Cleveland World\u00a0Series, and the presidential election. In the regulatory world of FINRA, there was also an\u00a0historic year as FINRA continued its trend of ordering significant fines, shattering its previous record set in 2014. If firms and their representatives were not paying attention to\u00a0this trend, … Continue reading A Record-Breaking Year for FINRA in 2016; What May Come in 2017?<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":57,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-677","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t