The Financial Industry Regulatory Authority (FINRA) interviews C. Boyden Gray Fellow on Global Growth and Finance Chris Brummer on his service at FINRA’s National Adjudicatory Council (NAC) and his role as one of the final decision-makers for the NAC’s appellate disciplinary proceedings:

FINRA’s Chairman and CEO, Rick Ketchum, has cited Prof. Brummer’s work on the NAC as “extremely important to FINRA” and that “by lending his expertise to service on the NAC, Chris is making a significant contribution to an effective disciplinary process and to advancing FINRA’s mission of investor protection.”

In this interview, Prof. Brummer describes the NAC’s role in protecting investors and his views about this very important public service role.

Read the full article here.

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