A practitioner's guide to FINRA sanctions analysis
By: Rory C. Flynn
Contributors: American Bar Association. Section of Business Law
Publisher: American Bar Association, Section of Business Law; American Bar Association
Published: 2015
Place of publication: Chicago, Illinois
Language: eng
Number of pages: 189
ISBN-13: 9781627229746
Subjects: Stock exchanges; Financial Industry Regulatory Authority; Law and legislation; Sanctions (Law); Securities industry
Other titles: FINRA sanctions analysis; Financial Industry Regulatory Authority sanctions analysis guide
Notes: Includes bibliographical references.
Table of contents: title: Introduction; title: Background; title: Sanctions analysis; title: The review of sanctions on appeal; title: Conclusion.