27. Financial Regulatory Agencies · Notable
Send all SRO fines to a new investor reimbursement fund or the Treasury
Not started
“Require that all SRO fines, including those imposed by FINRA, should go either to a newly established investor reimbursement fund or to the Treasury. SROs should not have a financial interest in imposing fines.”
What has happened
- Not started
No action found yet. This entry is the starting point, not a finding.
- Action
- transfer
- Object
- fines imposed by SROs, including FINRA
- ID
- 2170