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Market Regulation Priorities: Detecting and Preventing Misconduct

SKU: FR7600
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs.

After attending this session, you will be able to:

  • Understand Market Regulations’ initiatives, priorities and significant matters.
  • Discuss major developments in equities, fixed income and options markets surveillance.
  • Describe FINRA Market Regulation examination priorities.
  • Summarize a sample of significant disciplinary actions regarding equities, fixed income and options markets.

Lecturer Bios

Gene DeMaio, Esq.

Gene DeMaio is a Senior Vice President in FINRA’s Market Regulation Department where he manages the Options Regulation program, which he was instrumental in developing and implementing. Previous to joining FINRA, Mr. DeMaio was an Options Market Maker at the American Stock Exchange, and earlier worked as an attorney at the law firm of Kord Lagemann where he represented complainants in securities arbitration disputes. Mr. DeMaio is a graduate of Fordham Law and earned his LL.M at New York University.

Jon Kroeper, Esq.

Jon Kroeper is the Executive Vice President of the Quality of Markets Section of FINRA’s Market Regulation Department. The Quality of Markets Section is responsible for the conduct of post-trade surveillance and investigations related to data integrity, market conduct rules, and trading-manipulation matters in the U.S. equity and fixed income markets regulated by FINRA as a self-regulatory organization and as a provider of regulatory services to other U.S. SROs. Prior to joining FINRA's predecessor NASD in early 2007, Mr. Kroeper served as Counsel to U.S. Securities and Exchange Commission Chairman Chris Cox in 2006 and 2007, and Counsel to Commissioner Paul S. Atkins in 2005. From 2000 to 2005, Mr. Kroeper was First Vice President and Associate General Counsel for Instinet Group Incorporated. Mr. Kroeper began his career at the U.S. Securities and Exchange Commission in 1994, serving as a senior counsel in the Division of Market Regulation and subsequently as Counsel to Commissioner Laura S. Unger. Mr. Kroeper received a bachelor’s degree from Georgetown University and a law degree, cum laude, from Chicago-Kent College of Law.

Robert Marchman

Robert Marchman joined FINRA in June 2010 as Executive Vice President and Head of the Market Regulation Department’s Legal Group (the Group prosecutes violations of market rules and federal securities laws such as the recent significant disciplinary actions involving manipulative high-frequency trading activity). Mr. Marchman, prior to joining FINRA, worked at New York Stock Exchange Regulation and during his tenure there headed the Market Surveillance Division, the Enforcement Division and the Regulatory Risk Group. While at NYSE, Mr. Marchman directed several high profile and significant securities regulation disciplinary actions include the research analysts conflict of interest and specialist trading ahead cases. Prior to joining the NYSE in 1989, Mr. Marchman was a branch chief in the U.S. Securities and Exchange Commission’s Division of Enforcement in Washington, D.C. While at the SEC, Mr. Marchman brought a number of significant disciplinary actions including the action against Boyd Jefferies in connection with the Ivan Boesky insider trading case. In addition to his securities regulation responsibilities, Mr. Marchman served as Chairman of NYSE Diversity Council from its inception in 1999 until his departure from the NYSE. At FINRA, Mr. Marchman serves on the company’s Executive Diversity Leadership Council (whose members include FINRA’s Chairman/CEO) as well as the Executive Sponsor of the FINRA’s Women’s Network Employee Resource Group. Mr. Marchman is a magna cum laude graduate of Allegheny College, where he was inducted into Phi Beta Kappa and received his law degree from the University of Pennsylvania. In addition, Mr. Marchman, the first African-American Executive Vice President at the NYSE, attended Harvard Business School’s Program for Management Development. Mr. Marchman’s involvement in civic affairs includes Board membership service as Operation HOPE (Chairman, Northeast Regional Board), PFLAG, The NSHSS Foundation, CEE, and the University of Pennsylvania Law School Board of Managers.

Duer Meehan

Duer Meehan joined FINRA in August 2012 as the Deputy Director of the Department of Market Regulation. In addition he helps lead FINRA’s participation on the SRO Consortium that is developing the Consolidated Audit Trail NMS Plan. Prior to FINRA, Mr. Meehan worked in PwC’s Financial Services Regulatory Practice, where he worked on engagements with broker-dealers, asset managers, exchanges, a clearing agency, a trade monitoring vendor, and a rating agency. He helped these organizations with front-to-back regulatory reviews, regulatory governance assessments, controls related to quantitative high-frequency trading, the prevention of insider trading, regulatory reporting, the implementation of new regulations, the enhancement of trade surveillance tools, and the management of conflicts of interest. Prior to PwC, Mr. Meehan was the Associate Director of the Office of Market Oversight in the SEC’s Office of Compliance Inspections and Examinations. In this role, Mr. Meehan was responsible for supervising the SEC's oversight inspections of the self-regulatory organizations’ regulatory programs with respect to trading, including their surveillance, examination, and disciplinary programs. His group was also responsible for examinations of broker-dealers’ trading practices and operations, including alternative trading systems. In addition, he oversaw the SEC's examinations of credit rating agencies and managed the transfer agent examination program as well as participating in examinations of investment advisers. Before becoming Associate Director, Mr. Meehan was an Assistant Director in OCIE’s broker-dealer group, managing examinations addressing multiple issues, including equity and debt securities trading and sales practices, supervision, internal controls, and anti–money laundering. In addition, his responsibilities included helping manage the SEC's national examination program for broker-dealers. Mr. Meehan has also served as an adjunct professor of law at Georgetown University Law Center, teaching the regulation of securities trading. His experience prior to the SEC includes implementing trading systems at Bloomberg.



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