Securities Enforcement Update: FINRA enforcement chief comments on Issues Relating to Unification of NASD and NYSE Enforcement
24 September 2007
Mayer Brown Newsletter
24 September 2007 - On September 20, 2007, the DC Bar sponsored a luncheon program entitled "Learn What You Need To Know About FINRA From The New Enforcement Director Of This Combined NASD And NYSE Enforcement Entity." The featured speaker at the discussion was Susan L. Merrill, Executive Vice President, Chief of Enforcement, at the Financial Industry Regulatory Authority (FINRA), who previously served as Chief of Enforcement at the NYSE from 2004 to 2007.