{"id":943,"date":"2019-08-02T16:14:52","date_gmt":"2019-08-02T16:14:52","guid":{"rendered":"http:\/\/localhost\/?p=943"},"modified":"2019-09-03T18:39:41","modified_gmt":"2019-09-03T18:39:41","slug":"heres-looking-at-you-finra-regulatory-notice-19-23-extraordinary-cooperation-and-rule-4530-self-reporting","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/08\/02\/heres-looking-at-you-finra-regulatory-notice-19-23-extraordinary-cooperation-and-rule-4530-self-reporting\/","title":{"rendered":"Here\u2019s looking at you, FINRA \u2014 Extraordinary Cooperation and Self-Reporting"},"content":{"rendered":"<p>On July 11, 2019, the Financial Industry Regulatory Authority released Regulatory Notice 19-23, providing new guidance on what constitutes \u201cextraordinary cooperation\u201d in FINRA investigations, and what credit FINRA may give to broker-dealers or individuals. How will this guidance affect firms that self-report violations under FINRA Rule 4530(b)?<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEq8ZCmW3!\/fileUpload.name=\/Here%E2%80%99s%20Looking%20At%20FINRA%20'Extraordinary%20Cooperation'%20Part%201.pdf\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>On July 11, 2019, the Financial Industry Regulatory Authority released Regulatory Notice 19-23, providing new guidance on what constitutes \u201cextraordinary cooperation\u201d in FINRA investigations, and what credit FINRA may give to broker-dealers or individuals. How will this guidance affect firms that self-report violations under FINRA Rule 4530(b)? Read more here.<\/p>\n","protected":false},"author":2,"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-943","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\/943","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\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=943"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/943\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=943"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=943"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=943"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}