Transcription of May 2018 Sanction Guidelines - finra.org
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May 2018 Sanction Guidelines - finra.org
Sanction GuidelinesMay 2018 Table of Contents 2018. finra . All rights reserved. May 2018 version of the Sanction 1 General Principles Applicable to All Sanction Determinations 2 Principal Considerations in Determining Sanctions 7 Applicability 8 Technical Matters 9I. Activity Away From Associated Person s Member Firm 12II. Arbitration 17 III. Distributions of Securities 19IV. Financial and Operational Practices 25V. Impeding Regulatory Investigations 31VI. Improper Use of Funds/Forgery 35 VII. Qualification and Membership 38 VIII. Quality of Markets 46IX. Reporting/Provision of Information 69X. Sales Practices 76XI. Supervision 100 Index 1081 INDEXTOCThe regulatory mission of finra is to protect investors and strengthen market integrity through vigorous, even-handed and cost-effective self-regulation. finra embraces self-regulation as the most effective means of infusing a balance of industry and non-industry expertise into the regulatory process.
2 TOC INDEX 1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
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