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Date Last Verified
Years of Experience
The Principal Counsel works under minimal supervision to independently resolve non-complex Enforcement matters, and to contribute substantive high-quality work for large complex matters.
Essential Job Functions:
Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters.
For team-based matters:
For non-complex matters:
(FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.