A Regulator's View of Enforcement and Compliance*

Speaker: Susan Schroeder, Executive Vice President and Head of Enforcement, FINRA

Description: Please join us for a lunch talk with Susan Schroeder, Executive Vice President and Head of Enforcement at FINRA! At FINRA, Ms. Schroeder oversees disciplinary matters related to infractions found through FINRA's market surveillance and regulatory oversight programs. Prior to joining FINRA in 2011, Ms. Schroeder was a partner in WilmerHale's Securities Litigation and Enforcement practice, and was a litigation associate at Kirkland & Ellis before that. Earlier in her career, she served as a consultant at Andersen Consulting.

*This event is part of the Compliance Speaker Series and will qualify towards the Compliance Concentration requirement.

This event is open only to the Cardozo community. Registration is required. Lunch will be provided.