[PDF.93ow] A Practitioner's Guide to FINRA Sanctions Analysis

A Practitioner's Guide to FINRA Sanctions Analysis

[PDF.ma16] A Practitioner's Guide to FINRA Sanctions Analysis

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 | #4232397 in Books |  2016-12-01 | Original language:English |  8.99 x.38 x6.08l,.0 | File type: PDF | 192 pages

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||About the Author|Rory C. Flynn was Chief Litigation Counsel in the Department of Enforcement at FINRA (and at its predecessor, NASD). He later served as Associate General Counsel with the SEC's Office of the General Counsel, heading its Adjudication practice gro

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest, independent regulator of securities firms doing business in the United States, and part of the Securities Exchange Act of 1934's interrelated and comprehensive system for regulating the securities markets. This book gives a comprehensive overview and practical advice to lawyers regarding one segment of FINRA's disciplinary process―sanctions analysis. This guide contains practical, in-depth knowle...

You easily download any file type for your gadget.A Practitioner's Guide to FINRA Sanctions Analysis   |  Rory C. Flynn. I was recommended this book by a dear friend of mine.

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