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.
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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.
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Add this copy of A Practitioner's Guide to Finra Sanctions Analysis to cart. $7.99, like new condition, Sold by Wonder Book - Member ABAA/ILAB rated 5.0 out of 5 stars, ships from Frederick, MD, UNITED STATES, published 2016 by American Bar Association.
Add this copy of A Practitioner's Guide to Finra Sanctions Analysis to cart. $40.17, good condition, Sold by Bonita rated 4.0 out of 5 stars, ships from Newport Coast, CA, UNITED STATES, published 2016 by American Bar Association.
