FINRA names Scott W. Anderson as Head of Market Regulation and Transparency Services

The Financial Industry Regulatory Authority, Inc. (FINRA), a non-governmental organization that regulates member brokerage firms and exchange markets, announced that it has appointed Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services, effective from Jan. 25, 2021. He will report to President and CEO Robert W. Cook and serve on FINRA's Management Committee.

As see from his Linkedin profile, Anderson joins FINRA from Société Générale, where he served as Managing Director – Chief Compliance Officer, Americas. Previously, Anderson held senior compliance and legal roles at UBS AG, Fidelity Investments and JP Morgan Chase. He also worked at The Nasdaq Stock Market as an attorney in the Market Structure and Regulatory Policy Group of the Office of the General Counsel. He started his career at NASD Regulation as an Investigator in the Enforcement Department.

Anderson has a Juris Doctorate from the University of Tennessee, a Master of Laws in Securities and Financial Regulation from Georgetown University, and a Bachelor of Arts in Political Science from the University of Richmond.

“Scott brings to this critical role broad leadership experience and a deep understanding of today's complex securities markets, and we are excited to welcome him back to FINRA,” Cook said. “The Market Regulation and Transparency Services Department is vital to FINRA's mission of protecting investors and ensuring the integrity of the securities markets, so that everyone can participate in them with confidence. I look forward to working closely with Scott as he begins working with this important team.”

“FINRA's mission has resonated with me since the very start of my career, and I am excited to lead such an outstanding team of professionals so deeply committed to protecting investors and market integrity,” Anderson said. “I look forward to working with Robert and the rest of the senior management team in helping to make FINRA the most effective self-regulatory organization we can be.”