Podcasts Government FINRA Unscripted Behind the Process: How an Enforcement Action Becomes an Enforcement Action

Behind the Process: How an Enforcement Action Becomes an Enforcement Action

Published: Feb. 23, 2021, 12:30 p.m.

b'Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.'