MCGEE GARY C posted Emily Gordy Informs Law360, Investment News Coverage of New FINRA Rule Proposal Targeting Recidivism MCGEE GARY C Charlottesville, VA:

Emily Gordy Informs Law360, Investment News Coverage of New FINRA Rule Proposal Targeting Recidivism

Investment News and Law360 sought out McGuireWoods partner Emily Gordy for insights on a recent Financial Industry Regulatory Authority rule proposal to increase regulators’ leverage over firms that have multiple disclosures or that hire a certain number of associated persons with multiple disclosures.
The proposal, announced May 2, would incentivize broker-dealers to more closely monitor compliance and avoid hiring a high percentage of staff with a…

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