Officials at the Financial Industry Regulatory Authority (FINRA) released a “Progress Report on FINRA360” last month and the regulator is making the case that it has started to reinvigorate itself, particularly in the areas of enforcement and qualification exams. As you may recall, FINRA360 is an effort to see if “FINRA is operating as the… Read More >>
FINRA EVP of Regulatory Ops to Depart
FINRA’s Axelrod to Help with Transition The Financial Industry Regulatory Authority reports that Susan F. Axelrod will leave the organization early in the new year for the private sector, after 28 years at FINRA and NYSE Regulation, its predecessor. She has been executive vice president for regulatory operations since 2013, responsible for heading the member… Read More >>
