WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and External Relations. Jennifer Piorko Mitchell was promoted to Vice President, Corporate Governance.
In a newly created role, Ms. Asquith will continue to oversee the Office of the Corporate Secretary, as well as the offices of Investor Education, Member Relations and Education, Government Affairs and Corporate Communications.
Ms. Asquith joined FINRA in 2001 as Director of Government Relations and was promoted to Vice President in 2004. In 2007, she was named Corporate Secretary and subsequently promoted to Senior Vice President. Since November, she has also been serving as Interim Head of Corporate Communications and Government Affairs.
“Marcia’s deep experience with FINRA, combined with her extensive knowledge of the securities industry, make her the ideal choice for this new role as we work to strengthen our outreach to and engagement with FINRA’s key stakeholders,” said Robert W. Cook, FINRA President and CEO.
Ms. Piorko Mitchell has worked in the Corporate Secretary’s office since 2007, initially serving as Assistant Corporate Secretary. In 2014, she was promoted to Deputy Corporate Secretary and selected to serve as the Secretary of the FINRA Investor Education Foundation.
Prior to joining the Office of the Corporate Secretary, she served as the Legal Support Manager in the Office of General Counsel, where she began her career as a paralegal in 1997.
“Given her background and experience in managing our Board and Committee functions, as well as her expertise on corporate-governance matters, I am confident that Jen will excel in her new role,” Mr. Cook said.
FINRA regulates securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. FINRA touches virtually every aspect of the securities business – from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, and informing and educating the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers the largest dispute resolution forum for investors and firms. For more information, please visit www.finra.org.