Finra promotes Susan Schroeder to head unified enforcement effort
Ms. Schroeder had been serving as head of enforcement since the departure of Brad Bennett earlier this year
July 26, 2017 | InvestmentNews.com
The Financial Industry Regulatory Authority Inc. has promoted Susan Schroeder to executive vice president and head of enforcement.
She had been serving as head of enforcement since the departure of Brad Bennett earlier this year and previously was senior vice president and deputy chief of enforcement.
Finra also said it will consolidate its existing enforcement functions into a unified group led by Ms. Schroeder. The new unit ultimately will bring together an enforcement team handling disciplinary actions related to trading-based matters found through the market regulation department’s surveillance and examination programs, and a team that handles cases referred from other regulatory oversight divisions including member regulation, corporate financing, the office of fraud detection and market intelligence, and advertising regulation.
The Blue Vault Summit could not have been more perfectly timed. This gathering of the Broker Dealer and Sponsor communities provided insightful and open discussion from several vantage points. These conversations are paramount, especially in a time of significant regulatory change.