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FINRA’s Regulatory and Examinations Priorities Letter

Now with nearly three decades of legal experience, Sylvia M. Scott joined Freeman, Freeman & Smiley, LLP, in 2005. As a partner, Sylvia M. Scott leads the firm’s Securities Practice Group, working with brokers and investment advisors in regulatory enforcement matters. 133 more words

Sylvia M Scott

IIROC chief becomes first Canadian appointed to Wall Street regulator FINRA's board of directors

Susan Wolburgh Jenah, who led the merger that created the Investment Industry Regulatory Organization of Canada and then ran that organization for six years, has been appointed as a public governor of Wall Street’s self-funded regulator. 95 more words

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