FIGHT THE POWER: NCLA Amicus Brief Asks Appeals Court to Topple FINRA’s Illegal ‘Private’ Enforcement Regime.
via nclalegal: FINRA is a nominally private non-profit corporation that regulates the securities brokerage industry subject to oversight by the U.S. Securities and Exchange Commission (SEC). But it wields vast legislative, executive, and adjudicatory powers over more than 600,000 individual …