A recent federal appeals court ruling that halted the Financial Industry Regulatory Authority’s power to collect old disciplinary fines through judicial proceedings has effectively called into question the power all self-regulatory organizations have in enforcing fines through court action.
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger
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