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Lun. 19 déc. 2011 - FINRA - USA - Bilan de la protection des investisseurs en 2011

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Auteur: Y. B.

Date de publication: 19/12/2011

 

La Financial Industry Regulatory Authority a publié un communiqué dans lequel elle annonce son bilan de la protection des investisseurs en 2011.

Résumé :

The Financial Industry Regulatory Authority (FINRA) has taken important actions to protect investors from fraudulent schemes, products and practices, and to bring new levels of transparency to financial markets. By realigning its resources to quickly escalate issues involving fraud and customer harm, FINRA was better positioned to take swift action to ensure the securities industry operated fairly and honestly for investors.

 Significant 2011 achievements:

  • FINRA, year-to-date, brought 1,411 disciplinary actions against registered individuals and firms, levied fines totaling more than $63 million and ordered more than $19 million in restitution to harmed investors. In addition, FINRA expelled 17 firms from the securities industry, barred 317 individuals and suspended 432 brokers from association with FINRA-regulated firms. All of these numbers are an increase from 2010.
     
  • FINRA's Office of Fraud Detection and Market Intelligence (OFDMI) referred more than 600 matters involving potential fraudulent conduct to federal and state regulators and law enforcement agencies.
     
  • FINRA reconfigured its exam program to be more risk-based and ensure exam teams are more focused on those areas critical to investor safety; and added resources and staff with more expertise, and strengthened FINRA's ability to identify high-risk firms, branch offices, brokers, activities and products through broader data collection and more comprehensive analysis.
     
  • FINRA's Market Regulation Department made substantial progress in developing cross-market surveillance patterns that will canvas all FINRA, NYSE and NASDAQ markets (80 percent of equity markets) and plans to launch these patterns in 2012. FINRA expanded the Order Audit Trail System (OATS) to include all NMS securities to create a uniform order audit trail to serve as a foundation for the cross-market surveillance program.
     
  • FINRA further enhanced market transparency by expanding the Trade Reporting and Compliance Engine (TRACE) to include securitized products, which added more than 1.2 million asset- and mortgaged-backed securities to the current 70,000 TRACE-eligible securities; and introduced securitized products benchmark pricing and aggregated data reports on FINRA's website to provide investors with greater insight into these products.
     
  • FINRA moved forward on important rule proposals, including Back Office Registration, Suitability and Debt Research Conflicts of Interest.

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