Law360 (December 15, 2020, 6:28 PM EST) — A former Société Générale chief compliance officer and ex-counsel with Nasdaq has joined the Financial Industry Regulatory Authority as its head of market regulation and transparency services unit, the regulator announced Tuesday.
Scott W. Anderson will start at FINRA on Jan. 25 and will also serve on its management committee, reporting to President and CEO Robert W. Cook, FINRA said in a statement.
Anderson, a banking industry veteran with roughly 25 years two-and-a-half decades experience in securities compliance, began his career at the National Association of Securities Dealers, FINRA’s predecessor organization.
“Scott brings to this critical role broad leadership experience and…
Stay ahead of the curve
In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.
Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
Create custom alerts for specific article and case topics and so much more!