Financial Industry Regulatory Authority (FINRA)
Industry: Non-governmental organization
DescriptionIn the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. Agency executive: Robert W. Cook, president and chief executive officer Headquarters: Washington, D.C., United States Founded: 30 July 2007 CEO: Robert W. Cook (Aug 2016–) Number of employees: 3,400 Subsidiary: NASD Regulation, Inc.
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Financial Industry Regulatory Authority (FINRA) Employees
FINRA Benefits/Program AdministratorFinancial Industry Regulatory AuthorityMay 2011 - Present
Financial Industry Regulatory Authority - FINRA 2006 - Present
Optimus 2002 - 2004
Skills
Human Resources
Education
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland University College 2006 — 2008
Management, Human Resources
University of Maryland College Park
Bytewise Inc 2014 - Present
Financial Industry Regulatory Authority-FINRA 1999 - 2014
Comsat 1982 - 1999
Westinghouse Electric Company 1976 - 1982
Skills
Test Automation, Hardware, Agile Methodologies, Performance Testing, Quality Center, Test Planning, Enterprise Architecture, Requirements Analysis, Testing, IIS, Software Design, SOA, SDLC, LoadRunner, Performance Tuning, Test Cases, Microsoft SQL Server, Software Development, Test Strategy, Semiconductors, Regression Testing, Quality Assurance, Military, Test Management, Software Quality..., QTP, User Acceptance Testing
Education
Loyola University Maryland
Master of Engineering (MEng), Digital Systems
University of Maryland College Park
Bachelor of Engineering (BEng), Electrical and Electronics Engineering
University of Maryland College Park
Bachelor of Mathematics
Financial Industry Regulatory Authority - FINRA December 2006 - Present
Minnesota Department of Commerce August 1981 - December 2006
Minnesota Department of Commerce October 1994 - January 2004
Skills
Administrative Law, Insurance Regulatory Law, Financial Services..., Mortgage Banking, Financial Services..., Settlement Negotiations, Financial Services, Regulations, Settlement Agreements, Financial Regulation, Securities Litigation, Investments, Fraud, Securities Regulation, Employee Benefits, Corporate Governance, Equities, Arbitration, FINRA, Litigation, AML, Capital Markets, Litigation Management, Mutual Funds, Investment Advisory, Legal Compliance, Insurance Law, Brokerage, Securities, Corporate Law, Blue Sky, Anti Money Laundering, Due Diligence, Risk Management
Education
William Mitchell College of Law 1975 — 1979
JD, Law
University of Wisconsin-Milwaukee 1970 — 1974
BA, English Language and Literature/Letters