Tag: financial regulation
Judge, Jury, and Regulator: Are SRO Courts More of a Threat than a Benefit?
“Our constitutional structure does not permit unaccountable private actors to wield governmental power. FINRA has only minimal oversight from an independent federal agency. Therefore, it must not issue and enforce rules that have the force and effect of federal law. Additionally, none of FINRA’s board members and hearing officers is appointed by the president […]
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