Expertise
FINRA, SEC sales practice, broker-dealers and investment advisers
(For search purposes, not intended to be a comprehensive list)
Expertise
FINRA, SEC sales practice, broker-dealers and investment advisers
(For search purposes, not intended to be a comprehensive list)
Former FINRA Executive Vice President for Regulatory Policy and Legal Compliance Officer. Expertise in FINRA and SEC rules, Reg BI, Form CRS, 1940 Acts.
Curriculum Vitae