General Publications September 12, 2019

“INSIGHT: Deciphering FINRA Guidance to Obtain Credit for Extraordinary Cooperation,” Bloomberg Law, September 12, 2019.

When a regulated business discovers a potential legal or compliance issue, disclosure is a key question that decision-makers must quickly resolve. For broker-dealer firms regulated by the Financial Industry Regulatory Authority, this means considering whether a specific violation triggers their affirmative obligation to disclose certain types of violations to FINRA.
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