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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
FINRA Reorganizes Enforcement, Names Susan Schroeder as Chief
FINRA has promoted Susan Schroeder to EVP and Head of Enforcement, and has announced plans to consolidate its existing enforcement functions into a single, unified enforcement group under Ms. Schroeder. She’ll report directly to FINRA CEO Robert Cook.
Two distinct enforcement teams will merge into the new unit:
- one handling disciplinary actions related to trading-based matters found through Market Regulation’s surveillance and examination
- the other handling cases referred from other regulatory oversight divisions including Member Regulation, Corporate Financing, the Office of Fraud Detection and Market Intelligence, and Advertising Regulation.
Detailed planning for the consolidation will begin immediately and will be overseen by a steering committee of senior executives. The committee also will seek input from FINRA’s exchange clients for whom FINRA performs enforcement-related services.
SUSAN SCHROEDER’S BACKGROUND. Ms. Schroeder joined FINRA in 2011 as SVP and Deputy Chief of Enforcement. She’s been acting Head of Enforcement since the departure of Brad Bennett earlier this year. Before joining FINRA, Ms. Schroeder was a partner in WilmerHale’s Securities Litigation and Enforcement practice.
Earlier in her career, Ms. Schroeder was with Kirkland & Ellis (as a litigation associate) and Andersen Consulting (as a consultant).She holds a JD from NYU Law, an MA from the UC Davis, and a BA from Georgetown. She is a member of the New York bar.