Warren Raises Concerns About Steep Decline in Enforcement by Financial Industry's Self-Regulatory Agency
August 29, 2024
August 29, 2024
WASHINGTON, Aug. 29 -- Sen. Elizabeth Warren, D-Massachusetts, issued the following news release:
Senator Elizabeth Warren (D-Mass.) wrote to the Financial Industry Regulatory Authority (FINRA) requesting an explanation for the organization's record-low number of enforcement actions on financial crimes.
Established in 2007, FINRA is a self-regulatory, non-governmental entity responsible for ensuring securities firms and brokers operate fairly and honestly.
. . .
Senator Elizabeth Warren (D-Mass.) wrote to the Financial Industry Regulatory Authority (FINRA) requesting an explanation for the organization's record-low number of enforcement actions on financial crimes.
Established in 2007, FINRA is a self-regulatory, non-governmental entity responsible for ensuring securities firms and brokers operate fairly and honestly.
. . .