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FINRA Report Signals Quicker, Clearer Enforcement Ahead

July 24, 2026

United States
United States
United States
Law360

FINRA's recently published independent report recommends reforms to its enforcement process—including adopting federal statutes of limitations, improving transparency about investigations, and easing cooperation credit—that experts say could give member firms more defensive avenues and a fairer, more consistent regulatory experience.

In Law360, partner Brian Rubin discussed several of the proposed changes, including enhanced opportunities to engage with FINRA staff and a more structured approach to the settlement process.

“The goal is to have a fair and consistent process and to get the process off the table, so that the staff and firms and individuals can really focus on whether there are violations and whether firms or individuals should be sanctioned for them,” Brian said.

The materials on the Eversheds Sutherland website are for general information purposes only and do not constitute legal advice. While reasonable care is taken to ensure accuracy, the materials may not reflect the most current legal developments. Eversheds Sutherland disclaims liability for actions taken based on the materials. Always consult a qualified lawyer for specific legal matters. To view the full disclaimer, see our Terms and Conditions or Disclaimer section in the footer. Eversheds Sutherland is a provider of legal and other services operating through various separate and distinct legal entities. For further information about these entities and Eversheds Sutherlands' structure please see the Legal Notice page of this website.

Key contacts

brianrubin@eversheds-sutherland.com

Brian L. Rubin

Partner

Washington, DC, United States

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