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Enforcement Guiding Principles

July 31, 2018

What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017.

One of the first things Schroeder tackled in her new role was to get right down to basics and define what an effective Enforcement action looks like – to identify clearly her team’s common goals. She wanted to ensure everyone in the group was asking the same questions and considering the same factors in the same way on every case, every day.

In this episode, Susan rejoins us to discuss how getting back to basics has helped her build a more effective Enforcement team.

Resources mentioned in this episode:


Sanction Guidelines


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