Try our Advanced Search for more refined results

Expert Analysis

FINRA Continues To Step Up Focus On Senior Investors

By Bruce Bettigole and Sarah Razaq Sallis ( June 27, 2017, 11:31 AM EDT) -- In April 2017, the Financial Industry Regulatory Authority's National Adjudicatory Council (NAC) introduced new sanction guidelines that allow the NAC and FINRA staff to consider the vulnerability of customers in determining appropriate sanction levels.[1] The guidelines provide for a new "principal consideration that analyzes whether a respondent has exercised undue influence over a customer,"[2] a factor for adjudicators and FINRA staff[3] to consider in determining appropriate sanctions.[4]...

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!