December 19, 2013 FINRA Fines Firm for "Operational Deficiencies" FINRA announced that it has fined a member for operational deficiencies primarily related to its enhanced lending program. See: FINRA Action Letter; FINRA Press Release. Tags Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA
Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA