Given the pace of change in the marketplace, it's more important than ever that regulators be prepared to act quickly. We've strengthened our ability to identify high-risk firms, brokers, activities and products—and we continue to enhance our regulatory programs in order to focus on the greatest risks to investors.
When the rules are broken, FINRA takes action. Our strong and vigorous enforcement program brings discipline where investors have been harmed. In 2011, we barred 329 individuals and suspended 475 brokers from association with FINRA-regulated firms, levied fines totaling $71.9 million and ordered more than $19 million in restitution to harmed investors.
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