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Stories of Interest
- North Korean caught secretly mining bitcoin rival
- IPO Timelines Cut by 80% After SEC's Private Filing Decision
- How the Carried Interest Break Survived the Tax Bill
- FINRA: The Neutral Corner
- Coinbasex Says Buying and Selling Temporarily Disabled Amid Price Rout
- Bitcoin plunges by more than a third in a single day
- Goldman Is Setting Up a Cryptocurrency Trading Desk
- Jefferies Lets Employees Choose When to Receive Their Bonuses
- UBS Told to Pay $903K After Losing Retaliation Verdict
- BEWARE: Long Island Iced Tea Shares Soar After Changing Name to Long Blockchain
- Gary Cohn’s Last Laugh: Cashing Out on Trump’s Tax Plan
- E*Trade Lets Customers Trade in CBOE Bitcoin Futures
- Swiss Find Serious Shortcomings at JPMorgan in 1MDB Case
- Washington-based Investment Adviser and His Business Partner Charged in Multi-Million Dollar Scheme
- FINRA Board of Governors Meeting
- Cryptocurrency Market Now Doing Same Daily Volume as the NYSE
- Jailed Barclays Trader Must Pay $400,000 From Libor Profits
- Trump Asks ‘How’s Your 401(k)?’ But Most Voters Don’t Have One
- A Bitcoin Hedge Fund’s Return: 25,004% (That Wasn’t a Typo)
- Madoff Victims Near Full Recovery of Principal With Payout
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NEWSLETTERS & ALERTS
FINRA's Susan Axelrod is Ending 28-Year Enforcement Career
Susan Axelrod, who has served as FINRA EVP for Regulatory Operations since 2013, is calling it quits effective 1/5/2018. After that, she will serve as a senior advisor to FINRA President and CEO Robert Cook through April, assisting in the leadership transition for Regulatory Operations and providing expertise and guidance with respect to a broad range of strategic issues.
As EVP for Regulatory Operations, Ms. Axelrod she has been responsible for leading the Member Regulation program, the Office of Fraud Detection, and Market Intelligence, Enforcement, and Shared Services. Her nationwide team of more than 1,400 people in 14 offices has executed several of FINRA’s core regulatory programs, including the following:
- Conducted exams and investigations of FINRA member firms and their branches;
- Reviewed thousands of potential fraud and insider trading cases; and,
- Prosecuted numerous firms and salespersons engaged in serious misconduct.
SUSAN AXELROD’S CAREER. After earning her Bachelor’s Degree from Emery University and her Law Degree from Hofstra University, Ms. Axelrod joined the NYSE in 1989 as a Staff Attorney in the division of enforcement. She became an Enforcement Director in 1997. Thereafter, Ms. Axelrod served in the following positions:
- 2004-2007: NYSE Regulation Chief of Staff;
- 2007-2010: FINRA SVP, Deputy Regulatory Operations;
- 2010-2013: FINRA EVP, Member Regulations Sales Practice Department;
- 2013-Present: FINRA EVP Regulatory Operations.
“During my nearly three decades as a regulator, it has been an honor and privilege to work every day to ensure that investors are protected and markets are operating with integrity. I am proud to have been part of the talented FINRA team and all that it has accomplished since the organization was founded. I want to express my deepest gratitude to everyone I have worked with over the years, including staff, board members, and industry participants. I am also grateful to my family for their incredible support for the time and energy I have dedicated to this important work.” - - Axelrod.