‘Enforcement 40’ for 2020
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Get caught up with the Securities Docket News Wire for June 19, 2014.
Message from FINRA Enforcement chief: “talk to me” — Reed Smith
Earlier this week, J. Bradley Bennett, Executive Vice-President, Enforcement for FINRA, spoke at a gathering hosted by SIFMA’s Compliance & Legal Society…. Of particular interest, however, was Bennett’s repeated entreaties throughout his remarks to “ask for a meeting” with him and his senior staff. Indeed, he indicated his surprise at the paucity of such requests. via […]