Susan Axelrod Named FINRA's Executive Vice President of Regulatory Operations

FINRA announced that Susan Axelrod will become FINRA's Executive Vice President of Regulatory Operations. In this role, Axelrod will oversee Enforcement, the Office of Fraud Detection and Market Intelligence, and Member Regulation (i.e., Sales Practice, Risk Oversight and Operational Regulation and Shared Services). Ms. Axelrod previously was the head of FINRA's Member Regulation - Sales Practice area. Mike Rufino, Chief Operating Officer of Member Regulation - Sales Practice, will assume the role of acting head of the Sales Practice group.

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