Send self-regulator fines to an investor fund or the Treasury
What the document says“Require that all SRO fines, including those imposed by FINRA, should go either to a newly established investor reimbursement fund or to the”
The full sentence ends with the Treasury, and the part adds that self-regulatory organizations should not have a financial interest in imposing fines. It separately asks that arbitration and disciplinary hearings be open to the public and reported, and that arbitrators make findings of fact subject to review.
What the document actually says“Require that all SRO fines, including those imposed by FINRA, should go either to a newly established investor reimbursement fund or to the”
These fines should go to a fund for investors. Or they should go to the Treasury.
A body that polices brokers keeps the fines it charges. The book says that gives it a reason to fine. The money should go elsewhere.
Read against the documents indexed here on August 26, 2026, and nothing was found that answers this. Nothing indexed comes close. No candidate concerns where fines imposed by self-regulatory organizations go, or the openness of arbitration and disciplinary hearings. The candidates returned here cover federal building energy standards, the SBIR programs, a district court docket, a wildlife restoration fund and an import surcharge proclamation. That is a record of a search, not a finding that nothing has happened: an act this site does not hold, or one that answers the proposal in words unlike its own, would not be caught by it.