FINRA Unscripted

Enforcement and Economics: Driving Better Case Outcomes Through Collaboration


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Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have, whether it be in establishing sampling methodologies, the creation of a benchmark or development of restitution frameworks. 

On this episode, we hear from Chris Kelly, acting Head of Enforcement, and Lori Walsh, Vice President of the Office of the Chief Economist, about how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.

Resources mentioned in this episode:

Episode 124: Introducing REMA

Episode 77: How an Enforcement Action Becomes an Enforcement Action

Office of the Chief Economist

FINRA Enforcement

Monthly Disciplinary Actions

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FINRA UnscriptedBy FINRA

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