ARTICLE
26 October 2021

FINRA Revises Sanctions Guidelines

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA's National Adjudicatory Council revised its Sanctions Guidelines to include Consolidated Audit Trail System reporting violations guidelines.
United States Finance and Banking

FINRA's National Adjudicatory Council revised its Sanctions Guidelines to include Consolidated Audit Trail System ("CAT") reporting violations guidelines. The revisions reflect the transition of audit-trail reporting from the Order Audit Trail System ("OATS") to CAT.

Primary Sources

  1. FINRA Regulatory Notice 21-37: The National Adjudicatory Council (NAC) Revises the Sanction Guidelines

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