FINRA Names Axelrod as Executive Vice President in Charge of Sales Practice
Posted July 21, 2010 1:13PM PST

The Financial Industry Regulatory Authority named Susan Axelrod as its executive vice president in charge of sales practice.

Axelrod, 45, replaces Robert Errico, who retired last month. Previously, Axelrod was senior vice president of regulatory operations.

Sales practice is one of two divisions under FINRA's member regulation segment. The other is risk oversight.

"Susan's talents include deep knowledge of securities regulation and detailed awareness of broker-dealer operations," said FINRA Vice Chairman Stephen Luparello in a statement. "These skills, along with her experience on the front lines enforcing FINRA rules, make her well-suited to oversee the FINRA area responsible for examining most FINRA-registered firms."

Axelrod joined FINRA in 2007. Prior to that, she worked in the enforcement arm of the New York Stock Exchange starting in 1989. She received her JD from Hofstra University School of Law and her BA from Emory University.

Source: Press Release


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