The number of FINRA sanctions against registered personnel engaged in unauthorized, private securities transactions (often referred to as 'selling away') underscores the importance of summarizing terms associated with securities transactions (Lesson 1), analyzing the FINRA rule (3040) regarding 'private security transactions' (Lesson 2) and reviewing both recent sanctions (fines, suspensions, and industry bars) and the guidelines by which FINRA assesses those penalties for private security transactions (Lesson 3).
Language: English
