InvestmentNews Podcast: Bob Doll’s Big Move and a Look at FINRA and the SEC

InvestmentNews Podcast: Bob Doll’s Big Move and a Look at FINRA and the SEC

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On June 7, 2021, Partner Susan Schroeder was featured in an episode of The InvestmentNews Podcast titled “Bob Doll’s big move and a look at FINRA and the SEC.” During this episode, the new CIO of Crossmark Global Investments, Bob Doll, discussed his move while Ms. Schroeder, the former head of enforcement at FINRA, chatted about her memories of interesting enforcement actions at FINRA and the FINRA/SEC relationship.

Other topics of discussion included: 

  • Reg BI and its potential impact, and how the SEC might use it
  • Expungement reform and the potential for cracking down on rogue brokers
  • Assessing Robert Cook’s time as Finra CEO and the FINRA 360 initiative
  • The crypto gap

Listen to the episode.

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