Compliance Newsflash – September 13, 2017

September 13, 2017

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FINRA CEO Robert Cook Testifies Before House Financial Services Subcommittee on Capital Markets, Securities, and Investment
On September 7, 2017, Robert W. Cook, President and CEO of FINRA, testified before the U.S. House of Representatives Subcommittee on Capital Markets, Securities, and Investment about FINRA’s operations and regulatory programs, and how FINRA is fulfilling its mission to protect investors and ensure market integrity while facilitating vibrant capital markets.
To read the full article, click here.

Bridget Fitzpatrick Named Chief Litigation Counsel
On September 7, 2017, the SEC announced the leadership of the agency’s trial unit. Bridget Fitzpatrick has been named Chief Litigation Counsel of the SEC and David Gottesman will continue to serve as the agency’s Deputy Chief Litigation Counsel. Since December 2016, Ms. Fitzpatrick and Mr. Gottesman have served as Co-Acting Chief Litigation Counsel.  In that role, they were jointly responsible for supervising the trial unit at the agency’s Washington D.C. headquarters as well as coordinating with litigators in the SEC’s 11 regional offices around the country.
For more information, click here.