FINRA Appoints Ex-SocGen CCO As Market Regulation Head

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…

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