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Holiday Close Notification:
RegEd Customer Service will be available from 8:00 AM ET - 6:00 PM ET on Monday, December 23rd. RegEd’s offices will be closed on Tuesday, December 24th and Wednesday, December 25th in observance of Christmas. Normal business hours will resume at 8:00 AM ET on Thursday, December 26th. All systems will remain operational and available. |
In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
