…But also on the minds of industry watchers is how the Financial Industry Regulatory Authority is moving along in integrating its two enforcement divisions — now aptly called “One Enforcement” by the broker-dealer self-regulator.
Who’s the person to ask? Susan Schroeder, of course, who heads FINRA’s enforcement team. During a recent FINRA Unscripted podcast, she laid out where her team stands and where it’s headed. I checked in late this week with FINRA and its former enforcement head Brad Bennett to follow up on some of Schroeder’s comments.
‘Enforcement 40’ for 2020
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