Regulatory Notice 09-17
FINRA Provides Guidance on its Enforcement Process
FINRA is providing this guidance to provide transparency into its enforcement process, and to assist firms and their associated persons with their understanding of how the investigative process works and to highlight procedural safeguards in this process, including:
Questions regarding this Notice should be directed to Susan Merrill, Executive Vice President, Enforcement, at (646) 315-7300.
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