…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.
via FINRA Enforcement Units, Unite! | ThinkAdvisor.
