FINRA’s Department of Enforcement Explained
October 8, 2019
The Department of Enforcement within FINRA, the Financial Industry Regulatory Authority, has four units, a key reform from 2018.
Lizzie Hogan is the Senior Vice President of Market Regulation Enforcement, one of the three units with the Department of Enforcement, and she was the latest guest on FINRA’s podcast “Unscripted”.
