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FINRA Goes Quiet as Its Caseload Plunges
Analysis June 28, 2024 at 12:20 PM
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What You Need To Know
- Total fines are down by about half since a peak in 2016, though FINRA's headcount and budget have expanded.
- Last year, it issued press releases on just 10 of 426 enforcement actions, compared with 63 in 2015.
- These trends are raising the question: Will the watchdog catch the industry's next big fraud?
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