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ARTICLE · 14 MARCH 2016

Putting FINRA's Priorities Into Practice

Fox Rothschild LLP
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The Financial Industry Regulatory Authority (FINRA) will continue to intensify its intent of addressing emerging and existing risks in the securities industry

United StatesFinance and Banking
Compliance Week
Compliance Week
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Joshua Horn was featured in the Compliance Week article, "Putting FINRA's Priorities Into Practice." Full text can be found in the March 8, 2016, issue, but a synopsis is below.

The Financial Industry Regulatory Authority (FINRA) will continue to intensify its intent of addressing emerging and existing risks in the securities industry. Over the past 5 years, there has been a surge in restitution, disciplinary actions, and bars and suspensions due to increased investigations from the national authority.

In many cases, firms will negotiate an AWC (Acceptance, Waiver, and Consent settlement) without admitting liability. Depending on the violation, it may make a lot of sense to negotiate an AWC, because it is hard to prevail in a FINRA case, says Fox Rothschild's Joshua Horn.

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