The Financial Industry Regulatory Authority said on Thursday that Susan Axelrod, its executive vice president for regulatory operations, is leaving the securities industry self-regulator for a job in the private sector early next year.
NEW YORK (Reuters) – The Financial Industry Regulatory Authority said on Thursday that Susan Axelrod, its executive vice president for regulatory operations, is leaving the securities industry self-regulator for a job in the private sector early next year.
Axelrod spent 28 years with FINRA and its predecessor, the New York Stock Exchange Regulation, according to a statement.
Since 2013, Axelrod has led a division of 1,400 FINRA employees who are responsible for spotting fraud, enforcing rules, examining the 3,700 FINRA member firms and running the senior investor protection services, among other tasks.
Axelrod&rsquo-s exit comes as FINRA Chief Executive Officer Robert Cook continues a sweeping review of some of the regulator&rsquo-s internal systems and its engagement with member securities firms.
Axelrod will remain in her role until Jan. 5, 2018, after which she will serve as Cook&rsquo-s senior adviser through the end of April.
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