Regulatory Notice 09-17

FINRA Provides Guidance on its Enforcement Process

Executive Summary

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:

 

  • Enforcement Procedures and Managerial Oversight
  • Conducting Investigations
  • Sufficiency of Evidence Reviews
  • Wells Process
  • Disciplinary Advisory Committee Review
  • Litigation Group Consultation Process
  • Independent Office of Disciplinary Affairs
  • Independent Office of Hearing Officers

 

Questions regarding this Notice should be directed to Susan Merrill, Executive Vice President, Enforcement, at (646) 315-7300.