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FINRA provided guidance on enforcement credit for
firms or individuals that provide "extraordinary
cooperation" in investigations.
In a regulatory notice, FINRA clarified that it incentivizes
firms and individuals to comply with investigations by crediting
"extraordinary cooperation" that exceeds FINRA rule
requirements. FINRA defines "extraordinary cooperation"
as including (i) the self-reporting of violations, (ii) taking
early and vigorous steps to correct problems, and (iii) making
substantial and immediate remediation to customers or (iv)
providing a significant amount of assistance to FINRA's
investigation, including cooperating with FINRA to "uncover
substantial industry wrongdoing."
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
