The National Association of Securities Dealers has promoted a senior compliance official.
James Shorris will be succeeding Barry Goldsmith as executive vice president and head of enforcement.
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Shorris To Head NASD Enforcement
By
Staff Writer
March 24, 2006 at 02:53 PM
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Shorris, who previously was deputy head of enforcement, began working for the NASD in 2003.
Before Shorris joined the NASD, one of his jobs included serving as chief compliance officer at Allmerica Financial Corp., Worcester, Mass.
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