Credit For Cooperation: Recognizing Extraordinary Efforts

PODCAST

Credit For Cooperation: Recognizing Extraordinary Efforts

Extraordinary, adjective, very unusual or remarkable. But what does that really mean when it comes to FINRA members, both firms and individual registered representatives alike, looking to receive credit for cooperating on FINRA enforcement matters?

On this episode, Susan Schroeder, executive vice president and head of FINRA Enforcement, joins us to discuss new guidance on credit for extraordinary cooperation and to dig into what kind of cooperation is expected and what is considered by FINRA Enforcement. Plus, we hear how FINRA will work to provide more transparency around credit for extraordinary cooperation going forward.

Resources mentioned in this episode:

Regulatory Notice 19-23: Updated Guidance on Credit for Extraordinary Cooperation

Regulatory Notice 08-70: Guidance on Credit for Extraordinary Cooperation

Episode 14: Enforcement Guiding Principals

Rule 4530: Reporting Requirements

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