{
Patricia Millett

People

}
001122334455554433221100
001122334455554433221100

court limits finra's authority to expel brokerages without oversight

A federal appeals court has ruled that the Financial Industry Regulatory Authority (Finra) cannot unilaterally expel brokerages accused of misconduct without the US Securities and Exchange Commission's input. The decision emphasizes that Finra's regulatory actions must be overseen by a government entity, as stated by Circuit Judge Patricia Millett.
bloomberg.com
Finra US Securities and Exchange Commission USA Patricia Millett
Regulatory & Legal, News Article
17:52 22.11.2024
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