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Market Regulation: Examination Pilot Program and Surveillance Early Remediation Programs

SKU: FR7700
General Credits
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs


This CLE session provides updates on the small firm examination pilot and early remediation programs. Join FINRA staff and industry panelists as they share thoughts on the process and approach of these programs.

Lecturer Bio

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.

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