Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary.
He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.
Tim Donahue is Head of Brokerage Compliance at Vanguard, where he leads
a dynamic team focused on the overall design and implementation of a
comprehensive compliance program for Vanguard's brokerage business within the
Retail Investor Group division. Prior to joining Vanguard in 2021, Mr. Donahue
served as president and CEO, at HTK, a wholly owned broker-dealer/registered investment advisor subsidiary of Penn Mutual.
experience includes serving as Managing Director at HTK, where he led the
daily operations and regulatory supervision at the firm and as Director of
Operations at Boenning & Scattergood Inc. In addition to his current role at Vanguard, Mr.
Donahue is a FINRA dispute resolution arbitrator. Mr. Donahue earned his BS in Finance from
Saint Joseph’s University, an MBA from La Salle University in Philadelphia and is a graduate of
the Securities Industry Institute at The Wharton School of the University of Pennsylvania. Mr.
Donahue holds the FINRA Series 24, 27, 4, 7, 99, 63 and 65 licenses.
Ira Gluck is a manager in FINRA’s Advertising Regulation Department. In this role, he works on policy and investigative issues involving complex products and novel regulatory concerns. Mr. Gluck’s previous positions within FINRA included managing the Emerging Regulatory Issues team within the Risk and Strategy Department, as well as heading the Strategic Initiatives Group in FINRA’s Enforcement Department.
He also served in various investigative and management roles in the Enforcement and Member Regulation Departments of NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Mr. Gluck received his bachelor’s degree from the University of Pennsylvania and completed both a master’s degree and M.B.A. at the University of California, Irvine.
Kate Macchia is a Partner with ACA Foreside, a leading provider of governance,
risk, and compliance (GRC) solutions to clients in the financial services industry.
She oversees the Outsourced Marketing Review (OMR) department, which
provides both investment advisor and broker dealer consulting review of marketing
materials in addition to registered principal review of marketing materials for the
firm’s 16 affiliated broker dealers.
Ms. Macchia also serves as Vice President for
each of ACA Foreside’s 16 affiliated broker dealers. Prior to joining ACA Foreside,
she held positions at AQR Capital Management, AllianceBernstein, Legg Mason
and Citigroup. Ms. Macchia earned her Bachelor of Science degree with a double major in finance and
marketing from Fairfield University and holds FINRA Series 7 and 24 licenses.