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: Securities Law Prof Blog

FINRA Sets Up Screening Process for Enforcement Actions

By Securites Lawprof

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The securities industry has long accused regulators of "rulemaking by enforcement." FINRA enforcement chief Susan Merrill says it won't happen in her shop. In addition, FINRA has instituted a screening process to review and approve enforcement staff's cases before they...

Full post as published by Securities Law Prof Blog on February 05, 2008 (boomark / email).

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