What You Need to Know
- Havlik will retire from the broker-dealer self-regulator later this year.
- She will be succeeded by Greg Ruppert, head of FINRA's National Cause and Financial Crimes Detection Program.
- Havlik will stay on until the end of the year.
The Financial Industry Regulatory Authority said Friday that its exam chief, Bari Havlik, will retire from the broker-dealer self-regulator later this year.
Havlik, executive vice presidetnt and head of the Department of Member Supervision, will be succeeded by Greg Ruppert on Nov. 1.
Ruppert currently reports to Havlik and serves as EVP and leader of FINRA’s National Cause and Financial Crimes Detection Program (NCFC).
Havlik will remain an advisor to Ruppert to assist with the transition.
Since 2018, Havlik has led the Department of Member Supervision.
Havlik spearheaded the consolidation of FINRA’s three exam functions into a single, unified program.