Wallace Quoted on FINRA

27 December 2010 Compliance Reporter News
Foley Partner Richard Wallace was quoted in an article that appeared in Compliance Reporter on December 27, 2010 titled "Enforcement Revamps Set For Spotlight." Wallace discusses the current and anticipated revamps of FINRA's enforcement efforts in the coming year, stating that the regulator’s agenda has been filled with developing the consolidated rulebook, expanding its market oversight and building its Office of Fraud Detection and Market Intelligence. He adds that any revamp of FINRA enforcement could happen more quickly than at a government entity, noting that FINRA does not have to go to Congress and get approval from the union.

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