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ARTICLE · 04 OCTOBER 2022

FINRA Facts And Trends: September 2022

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Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement...

United StatesLitigation, Mediation & Arbitration
Joshua Klein
Joshua Klein
Keith Blackman
Keith Blackman
Russell W. Gallaro
Russell W. Gallaro

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA's new Complex Investigations and Intelligence Team, proposed changes to the expungement process for broker-dealers, and FINRA's attempts to curb digital signature forgery. Read about these issues, along with notable enforcement actions and arbitration decisions, below.

FINRA Unveils New Complex Investigations and Intelligence Team and Cyber and Analytics Unit

With an increased focus on data and analytics, FINRA now has a newly-formed team and unit dedicated to leveraging intelligence and analytics to drive decision making and operations. The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) will now spearhead an initiative designed to be both proactive and preventative in identifying

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