Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.
Last year, as part of the FINRA Forward initiative, FINRA hired two outside experts, former SEC Commissioner Troy Paredes of Paredes Strategies and Professor Paul R Eckert of William & Mary Law School, to identify potential improvements to FINRA’s enforcement regime.
The report was referenced repeatedly at the FINRA
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