To streamline its investigations, FINRA is creating a new, centralized enforcement office and has appointed its head of enforcement, Susan Schroeder, to run it.
The new office, which combines two previously distinct teams, will create a “uniform approach to charging and sanctions,” and “better target developing issues,” that could harm investors, FINRA said in a statement. It’s the latest move by the agency which is undergoing an organization-wide, top-to-bottom review under CEO Robert Cook to reassess its regulatory operations.
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