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Expert Analysis - Opinion

FINRA's Presumptive Bad Actor Rule Seems Like Overkill

By Thomas Potter ( May 16, 2019, 2:56 PM EDT) -- Last week, the Financial Industry Regulatory Authority proposed to establish a "Pre-Crime" unit within Member Regulation in Washington, D.C., that would impose preemptive confiscatory fines based on predictive analytics. This is not the dystopian future depicted in Steven Spielberg's 2002 sci-fi film noir, "Minority Report"; instead, it is among the latest rule proposals from the "we're not the government, just a membership organization" Wall Street regulator....

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