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A Practitioner's Guide to FINRA Sanctions Analysis

A Practitioner's Guide to FINRA Sanctions Analysis

This guide will help lawyers gain a comprehensive overview and practical advice regarding one segment of FINRA’s disciplinary process—sanctions analysis. This book contains the historical development of various FINRA sanctions, limitations on FINRA’s ability to impose certain sanctions, and much more. A unique resource on securities regulation for the new and experienced practitioner.
ISBN10: 1627229744
ISBN13: 9781627229746
Number Of Pages: 192
Publication Date: 20161201
Publisher: National Book Network
Binding: Paperback
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SKU: 9781627229746
$139.95
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