Lecturer Bios
Thomas M. Selman, CFA
Thomas M. Selman, CFA is Executive Vice President, Regulatory Policy, and Legal Compliance Officer of FINRA. He oversees the departments of Corporate Financing, Advertising Regulation, Regulatory Policy, the Legal Compliance Office, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996. Mr. Selman also holds the Chartered Financial Analyst ® designation. From 1992 to 1996, Mr. Selman was Associate Counsel at the Investment Company Institute, a trade association for the mutual fund industry.
Prior to that time, he served as Special Counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987.
Tom was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights. Mr. Selman received bachelor's degrees in economics and history from Rice University, and a Doctor of Jurisprudence degree from The University of Texas School of Law, where he was Associate Editor of the Texas Law Review.
Bruce W. Maisel
Bruce W. Maisel is Vice President and Chief Compliance Officer for Western & Southern Financial Group, Cincinnati, OH. He oversees the compliance groups that support Western & Southern’s various businesses and legal entities that manufacture and/or distribute insurance, broker-dealer and investment advisory products and services. Mr. Maisel is currently a member of FINRA’s Independent Dealer / Insurance Affiliate Committee. Mr. Maisel previously was in legal roles with, among others, Ameriprise Financial Services, Inc., Minneapolis, MN and Charles Schwab & Co., Inc., San Francisco, CA. He started his career with the Heller, Ehrman, White & McAuliffe law firm, San Francisco, CA.
Richard K. Matta, Esq.
Richard K. Matta is a Principal with Groom Law Group in Washington, D.C. His experience includes advising large plan fiduciaries, financial institutions and investment professionals in connection with the structuring and marketing of investment products and financial services to benefit plans and other tax-exempt investors. Mr. Matta focuses on the intersection of ERISA Title I (and similar laws applicable to governmental plans) with securities, tax, corporate and banking laws as they relate to (1) financial products including mutual funds, hedge and private equity funds, bank collective trusts, real estate, derivatives and other alternative investments, and (2) financial services including "bundled services" arrangements, investment advisory and “managed account” programs, brokerage and wrap products, ESG investing, IRAs and wealth management, and service provider "alliance" agreements. His experience extends to helping plan fiduciaries with governance / compliance audits and development of compliance programs. Mr. Matta has worked with clients in obtaining scores of DOL prohibited transaction exemptions and advisory opinions, as well as SEC/FINRA guidance and IRS rulings. Mr. Matta co-chairs Groom’s IRA practice where he advises financial institutions on IRA and HSA products, services and prohibited transaction issues. He also advises high net worth individuals on “self-directed” IRA issues including investments in private funds, real estate, and operating businesses.
