*The data collected is from January - November 2017.
We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.
SEC and FINRA Pay-to-play can be tricky for even the most experienced of Compliance Officers. Now is a great time of year to review your compliance programs for any potential weakness.
The following is a guest post from Liz Hornby, a Principal Learning Consultant in Eukleia Training's London office and the November 28th MCO Webinar presenter and co-host.
