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  • Description

    Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs.

    The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and options markets.

  • Instructor Bio

    Jon Kroeper

    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.


    Stephanie Dumont

    Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working closely with the SEC and the exchanges, the Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal securities laws.

    The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms. Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation, and providing legal and policy advice to FINRA management and staff.

    Among other areas, she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Ms. Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA's market transparency facilities and provided legal counsel for FINRA's participation in various National Market System Plans.

    Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.


    Gene DeMaio

    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.


    Timothy Thompson

    Timothy Thompson is Senior Vice President in FINRA’s Department of Market Regulation. More specifically, Mr. Thompson serves as the Firm Group Leader for the Trading and Execution (T&E) firm group. In that role, Mr. Thompson is responsible for FINRA’s examination and risk monitoring program related to broker-dealers engaged in trading on the U.S. equities and options trading markets. The firms included in the T&E firm group include proprietary trading firms, market making firms, alternative trading systems and institutional brokerage firms.

    The T&E firm group also performs trading reviews of firms in other firm groups (i.e., broker-dealers whose primary business is not trading). In addition, T&E performs examination work on behalf of the U.S. securities exchanges, which have an obligation to oversee such activity. Prior to joining FINRA in January 2015, Mr. Thompson served for more than 10 years as the Chief Regulatory Officer of the Chicago Board Options Exchange where he oversaw a comprehensive regulatory program consisting of, among others, trading examinations, financial and operational examinations, market surveillance, and insider trading surveillance.

    The insider trading surveillance was performed on behalf of all U.S. options exchanges. Mr. Thompson also oversaw the Cboe’s regulatory program for the Cboe Futures Exchange during his tenure. Prior to becoming the CRO for Cboe, Mr. Thompson served as the Chief Compliance Officer and General Counsel for Botta Capital Management, the Associate General Counsel for Cboe, and a Branch Chief for the Securities and Exchange Commission in the financial responsibility area of the SEC’s Division of Market Regulation (which is now the Division of Trading and Markets).

    Mr. Thompson graduated cum laude from the University of Michigan Law School and summa cum laude from the University of Notre Dame.