48 min
On the Front Lines of Investor Protection inSecurities
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- News
Chris & Kurt chat with FINRA’s Deputy Head of Enforcement, Chris Kelly, to learn what it’s like on the front lines of FINRA Enforcement. Chris discusses how FINRA’s role as a self-regulatory organization helps it fulfill its regulatory mandate, what FINRA means when it says its goal is “to get to the right regulatory outcome,” and why member firms facing a potential disciplinary action should actually be open to a dialogue with FINRA.
Chris & Kurt chat with FINRA’s Deputy Head of Enforcement, Chris Kelly, to learn what it’s like on the front lines of FINRA Enforcement. Chris discusses how FINRA’s role as a self-regulatory organization helps it fulfill its regulatory mandate, what FINRA means when it says its goal is “to get to the right regulatory outcome,” and why member firms facing a potential disciplinary action should actually be open to a dialogue with FINRA.
48 min