Transcription of October 2021 Sanction Guidelines - FINRA
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October 2021 Sanction Guidelines - FINRA
May 2018. Sanction Guidelines Table of Contents Overview 1. General Principles Applicable to All Sanction Determinations 2. Principal Considerations in Determining Sanctions 7. Applicability 8. Technical Matters 9. I. Activity Away From Associated Person's Member Firm 12. II. Arbitration 17. III. Distributions of Securities 19. IV. Financial and Operational Practices 25. V. Impeding Regulatory Investigations 31. VI. Improper Use of Funds/Forgery 35. VII. Qualification and Membership 38. VIII. Quality of Markets 46. IX. Reporting/Provision of Information 69. X. Sales Practices 76. XI. Supervision 100. Index 108. 2018. FINRA . All rights reserved. May 2018 version of the Sanction Guidelines . Overview The regulatory mission of FINRA is to protect investors and strengthen These Guidelines do not prescribe fixed sanctions for particular market integrity through vigorous, even-handed and cost-effective violations.
prevent future misconduct by imposing progressively escalating sanctions on recidivists beyond those outlined in these guidelines, up to and including barring associated persons and expelling firms. Sanctions imposed on recidivists should be more severe because a recidivist, by definition, already has demonstrated a failure to
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