Kelly Rock, Esq.
Kelly Rock, Esq. has nearly 18 years in regulatory enforcement and brings expertise
and powerful insight into complex financial products and emerging products and risk
areas. Ms. Rock serves as Senior Counsel in CFI, the Complex Financial Instruments
Unit of the Division of Enforcement, at the Securities and Exchange Commission.
Ms. Rock has spent the past decade in CFI, investigating and recommending
Enforcement actions related to, among others, TRS, RMBS, ETFs, ETNs, Leveraged
Loans, Investment Adviser Funds, Pooled Investment Vehicles, Opportunity Zone
Funds, and structured and complex products involving digital assets. Ms. Rock is an
ongoing contributor to the Division of Enforcement’s training program.
and presented on a variety of topics, both agency and division-wide, including leveraging technology and
data analytics to support investigations, the use and implementation of Artificial Intelligence platforms, and
the use of complex products and trading strategies.
Ms. Rock has recommended dozens of Enforcement
recommendations over her career, including maters arising from CFI’s broader case initiatives involving
RMBS and volatility linked ETPs. She has been named in numerous press and litigation releases. During
her tenure at the SEC, in addition to Division Director’s awards, Ms. Rock received the Enforcement Award
for Excellence in Information Technology, and she was also commended with the SEC’s Award for
Community Service. Prior to joining the SEC, Ms. Rock was a commercial litigator with the law firm Milbank,
Tweed, Hadley and McCloy.
She graduated from the University of Texas School of Law with distinction, she
has a masters from Columbia University, and is a proud alum of St. John’s College in Annapolis, Maryland.
Brad Anderson is the Chief Compliance Officer at DFPG Investments, a small retail
dual-registrant headquartered in Salt Lake City, UT. DFPG is known within the
industry for expertise in alternative investments. Mr. Anderson is the co-founder of
the SLC Compliance Roundtable and an advocate for professional development
within the securities compliance industry.
Mr. Anderson serves on the editorial board
of the NSCP Publications Committee, in addition is FINRA's West Region District 3
representative. Over the course of his career including compliance and supervision
roles at Fidelity and a tour in the United States Marine Corps. Mr. Anderson has
taken what he has learned and applied to become a more effective compliance
professional. In particular, Mr. Anderson has a keen appreciation for the human element in compliance.
Thomas M. Selman,
Thomas M. Selman, CFA is Founder of Scopus Financial Group, the premier source
for customized research and professional services to asset management companies,
broker-dealers, investment advisers, trade associations and other clients. Scopus
develops a thorough understanding of each client’s business and guides the client in
a manner tailored to its needs. Before his retirement in 2020, Mr. Selman was
Executive Vice President, Regulatory Policy, and Legal Compliance Officer of
He oversaw the departments of Corporate Financing and Advertising
Regulation, the Office of Financial Innovation, and the Corporate Office of the
General Counsel. Mr. Selman joined FINRA in 1996. Mr. Selman also holds the
Chartered Financial Analyst® designation.