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One Enforcement: Introducing FINRAs New Enforcement Team
Consistency and foreseeability: that\u2019s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn\u2019t always the case\u2014particularly when it came to two different enforcement teams. That\u2019s why FINRA\u2019s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here\u2019s how she\u2019s doing it.