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{"id":11269,"date":"2013-02-13T22:46:55","date_gmt":"2013-02-13T22:46:55","guid":{"rendered":"http:\/\/www.seonewswire.net\/2013\/02\/finra-took-significant-action-in-2012-2\/"},"modified":"2013-02-13T22:46:55","modified_gmt":"2013-02-13T22:46:55","slug":"finra-took-significant-action-in-2012-2","status":"publish","type":"post","link":"http:\/\/www.seonewswire.net\/2013\/02\/finra-took-significant-action-in-2012-2\/","title":{"rendered":"FINRA Took Significant Action in 2012"},"content":{"rendered":"
The Financial Industry Regulatory Authority (FINRA), the independent regulator of securities firms, accomplished much in 2012 in the areas of detecting fraud, developing cross-market surveillance and improving transparency in securities markets. \u00a0The regulator also assessed $68 million in fines and ordered $34 million in restitution to customers during 2012, a record amount.<\/div>\n

FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) conducts a surveillance program intended to detect fraud and insider trading. \u00a0In 2012, the OFDMI referred 692 matters involving potential wrongdoing to the SEC or other law enforcement agencies. \u00a0This included 260 referrals involving potential fraud and 347 referrals involving potential insider trading.<\/p>\n

FINRA also brought several important disciplinary actions in 2012, and was sometimes the first regulator to address certain cases of ongoing fraud. \u00a0The regulator took disciplinary action in 1,541 cases in 2012, a rise of 53 from the previous year. \u00a0The actions were taken against firms and registered individuals, (more…)<\/span><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority (FINRA), the independent regulator of securities firms, accomplished much in 2012 in the areas of detecting fraud, developing cross-market surveillance and improving transparency in securities markets. \u00a0The regulator also assessed $68 million in fines and…<\/span><\/p>\n

Read more ›<\/a><\/div>\n

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