Henderson Appointed to Securities Regulatory Council
Henderson, whose research areas include corporations and securities regulation, was appointed as a non-industry member.
Charles V. Senatore ’80 also was appointed to the council. As Senior Vice President of Fidelity Investments, he will serve as a large firm member.
The Financial Industry Regulatory Authority, or FINRA, is the largest independent regulator for all securities firms doing business in the United States. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms, writing and enforcing rules and the federal securities laws, informing and educating the investing public, providing trade reporting and other industry utilities, and administering the largest dispute resolution forum for investors and firms.
The NAC is a 14-person committee composed of seven industry and seven non-industry members that decides appeals from disciplinary, membership and exemptions decisions, and rules on statutory disqualification applications.