{"id":757,"date":"2017-09-25T19:10:32","date_gmt":"2017-09-25T19:10:32","guid":{"rendered":"http:\/\/localhost\/?p=757"},"modified":"2017-09-25T19:10:32","modified_gmt":"2017-09-25T19:10:32","slug":"mixed-results-for-finras-disciplinary-actions-in-first-half-of-2017","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/09\/25\/mixed-results-for-finras-disciplinary-actions-in-first-half-of-2017\/","title":{"rendered":"Mixed Results for FINRA\u2019s Disciplinary Actions in First Half of 2017"},"content":{"rendered":"<p>A midyear analysis of the disciplinary actions reported by FINRA from January through June 2017 indicates:<\/p>\n<ul>\n<li>Certain program areas and restitution are up, but fines and the number of disciplinary cases are significantly down<\/li>\n<li>FINRA appears to be focusing on more \u201cnuts and bolts\u201d issues like trade reporting, record retention, and supervisory policies and procedures<\/li>\n<li>Despite an overall reduction in fines and the number of disciplinary actions, firms should still concentrate on core issues like suitability and books and records, among others<\/li>\n<\/ul>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/NewsCommentary\/Press-Releases\/204006\/Eversheds-Sutherland-Study-Finds-Mixed-Results-for-FINRAs-Disciplinary-Actions-in-First-Half-of-2017?utm_source=vuture&amp;utm_medium=email&amp;utm_campaign=vuture-emails\">Read More Here<\/a><\/p>\n<p>Additional contributor to this post:<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian L. Rubin<\/a>,\u00a0<a>brianrubin@eversheds-sutherland.com<\/a><\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>A midyear analysis of the disciplinary actions reported by FINRA from January through June 2017 indicates: Certain program areas and restitution are up, but fines and the number of disciplinary cases are significantly down FINRA appears to be focusing on more \u201cnuts and bolts\u201d issues like trade reporting, record retention, and supervisory policies and procedures &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2017\/09\/25\/mixed-results-for-finras-disciplinary-actions-in-first-half-of-2017\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Mixed Results for FINRA\u2019s Disciplinary Actions in First Half of 2017<\/span> <span class=\"meta-nav\">&rarr;<\/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,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21],"tags":[],"class_list":["post-757","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/757","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/57"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=757"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/757\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=757"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=757"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=757"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}