Regulatory Notice 19-07

FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines

Effective Immediately

Summary

FINRA has revised the Sanction Guidelines to reflect the effects of inflation, per a policy established in May 2015.

The revised Sanction Guidelines are effective immediately and available on FINRA’s website.

Questions concerning this Notice should be directed to Megan Rauch, Associate General Counsel, Office of General Counsel, at (202) 728-8863.