Vigorous, fair and effective enforcement of federal securities laws and regulations is at the very heart of FINRA's mission. Federal law gives FINRA the authority to discipline securities firms and individuals in the securities industry who violate the rules.

 

Sanction Guidelines

Sanction Guidelines | Fines Policy

 

Adjudication

Office of Hearing Officers (OHO) | National Adjudicatory Council (NAC)

 

Disciplinary Actions

Monthly & Quarterly Disciplinary Actions | Disciplined Firms Under Taping Rule | 2003 Global Settlement