Industry bar

An industry bar prohibits association with a broker-dealer, investment adviser or other regulated firm. It is imposed administratively and is effectively a career-ending sanction for a registered person.

law and enforcement · updated 2026-09-08

See also

• Officer-and-director bar — An officer-and-director bar prohibits a person from serving as an officer or director of a public company, either permanently or f…
• FINRA — FINRA is the self-regulatory organisation for US broker-dealers. It runs cross-venue equity surveillance, brings its own disciplin…

Terms that refer here

FINRA · Officer-and-director bar

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