Quantcast
The MFWire
Manage Email Alerts | Sponsorships | About MFWire | Who We Are

Subscribe to MFWire.com's News Alerts [click]

Rating:Merrill Moves On Not Rated 0.0 Email Routing List Email & Route  Print Print
Thursday, March 18, 2010

Merrill Moves On

News summary by MFWire's editors

Fundsters who keep one eye on the Financial Industry Regulatory Authority (Finra) may want to take a look at Susanne Craig's Thursday article in the Wall Street Journal. Craig reports that Susan Merrill, head of enforcement at Finra, is leaving the B-D regulator. Yet sources told the WSJ that Merrill has not yet set a departure date or lined up another post. It is also not known who will replace her at Finra.

Merrill previously worked in the New York Stock Exchange's regulation division and joined Finra when it merged with the NYSE's regulatory arm in 2007. SEC (Securities and Exchange Commission) chair Mary Shapiro, who previously ran Finra, tapped Merrill as enforcement chief.

The WSJ offers no reason for Merrill's move, though the paper does note that Merrill's Finra enforcement team brought fewer enforcement actions than previous ones: enforcement fines dropped from $148.5 million in 2005 to $50 million in 2009, and disciplinary actions filed dropped from 1,399 in 2005 to 1,158 in 2009. 

Edited by: Neil Anderson, Managing Editor


Stay ahead of the news ... Sign up for our email alerts now
CLICK HERE

0.0
 Do You Recommend This Story?



GO TO: MFWire
Return to Top
 News Archives
2019: Q2Q1
2018: Q4Q3Q2Q1
2017: Q4Q3Q2Q1
2016: Q4Q3Q2Q1
2015: Q4Q3Q2Q1
2014: Q4Q3Q2Q1
2013: Q4Q3Q2Q1
2012: Q4Q3Q2Q1
2011: Q4Q3Q2Q1
2010: Q4Q3Q2Q1
2009: Q4Q3Q2Q1
2008: Q4Q3Q2Q1
2007: Q4Q3Q2Q1
2006: Q4Q3Q2Q1
2005: Q4Q3Q2Q1
2004: Q4Q3Q2Q1
2003: Q4Q3Q2Q1
2002: Q4Q3Q2Q1
 Subscribe via RSS:
Raw XML
Add to My Yahoo!
follow us in feedly




©All rights reserved to InvestmentWires, Inc. 1997-2019
14 Wall Street | 20th Floor | New York, NY 10005 | P: 212-331-8968 | F: 212-331-8998
Privacy Policy :: Terms of Use