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 | Fines Policy
Office of Hearing Officers (OHO) | National Adjudicatory Council (NAC)
Monthly & Quarterly Disciplinary Actions | Disciplined Firms Under Taping Rule | 2003 Global Settlement
