Podcasts Government FINRA Unscripted Enforcement Guiding Principles

Enforcement Guiding Principles

Published: July 31, 2018, 1:30 p.m.

What are the principles that guide FINRA\u2019s decision making when it comes to taking Enforcement action? That\u2019s the question that\u2019s been on the mind of FINRA\u2019s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team.