Introducing FINRA's Investment Committee Members and Board Governors

Introducing FINRA's Investment Committee Members and Board Governors

FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization responsible for governing the securities industry in the United States. The organization is overseen by a Board of Governors, which consists of industry and public governors.

The Investment Committee Board of Governors includes three members: Derrick Roman, Gus Sauter, and Naureen Hassan. Roman is a former partner at PwC with over 30 years of experience in providing audit, advisory, and risk assurance services to various organizations. He is also involved in several other boards, including CommScope Holdings, WEX Inc., and NABA Inc. Roman has been recognized for his commitment to financial education and is one of Savoy Magazine's "2021 Most Influential Black Corporate Directors."

Sauter is a current member of FINRA's Investment Committee and had previously served as the first Global Chief Investment Officer at Vanguard. With 25 years of experience at Vanguard, he has expertise in working on industry issues with government entities such as the Securities and Exchange Commission and the Federal Reserve. Sauter has also been involved in the University of Chicago Booth School of Business Council for the Dean and has written for The Wall Street Journal.

Hassan, the newest member of FINRA's Investment Committee, was appointed President of UBS Americas and CEO of UBS Americas Holding LLC in October 2022. She brings with her 25 years of experience in the financial services industry, with expertise in strategy, digital transformation, cybersecurity, and regulatory and risk management. Prior to joining UBS, Hassan was the COO and First Vice President of the Federal Reserve Bank of New York and also served as an executive vice president at the Charles Schwab Corporation.

FINRA is committed to ensuring sound governance and protection of investors in the United States. With its diverse and experienced Board of Governors, including the Investment Committee members, the organization continues to regulate and oversee the securities industry in a transparent and effective manner.