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Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy

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Susan Light
Partner and Co-Chair, Broker-Dealer Regulation
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Peter Wilson
Partner
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Susan Light
Partner and Co-Chair, Broker-Dealer Regulation
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Peter Wilson
Partner
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Dan Davis
Partner and Co-Chair, Financial Markets and Regulation
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James Brady
Partner
New York City, USA - October 30, 2017: Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking

A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held accountable to constitutional restrictions on state action. Katten takes a look at the challenge and its potential far-reaching implications on the constitutionality of FINRA’s regulatory program and enforcement function, and by extension, those of other self-regulatory organizations (SROs).

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esg and sustainable investing, regulated funds, crypto, broker-deal regulation, fmle, securities enforcement defense, financial markets and funds, futures and derivatives

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Avatar
Susan Light
Partner and Co-Chair, Broker-Dealer Regulation
Avatar
Peter Wilson
Partner
Avatar

+2 more...

Get in touch

Avatar
Susan Light
Partner and Co-Chair, Broker-Dealer Regulation
Avatar
Peter Wilson
Partner
Avatar
Avatar
Dan Davis
Partner and Co-Chair, Financial Markets and Regulation
Avatar
James Brady
Partner

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