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Stephen Luparello |
Senior Executive Vice President, Regulatory Operations
Stephen Luparello is Senior Executive Vice President, Regulatory Operations. In this capacity, he oversees FINRA's Enforcement, Market Regulation, Member Regulation and Business Solutions departments. Mr. Luparello held the same title at NASD, which consolidated with NYSE Member Regulation to form FINRA in 2007.
Mr. Luparello began his tenure at NASD in 1996. He became the head of NASD's Market Regulation Department in 1999, with responsibility for oversight of trading on The NASDAQ Stock Market, the American Stock Exchange, the Over-the-Counter equities market, and the corporate and municipal fixed income markets. In 2006, he was named NASD's Senior Executive Vice President, Regulatory Operations.
Mr. Luparello also has overseen NASD's creation of cutting-edge market regulatory technology. He is in charge of the organization's regulatory work for markets and exchanges in the United States, including the American Stock Exchange and the International Securities Exchange. Before coming to NASD Market Regulation, he was Vice President of the NASD Office of Disciplinary Policy.
From 1994 to 1996, Luparello was Chief of Staff to the Chair of the Commodity Futures Trading Commission. Prior to joining the CFTC, he served four years as Legal Counsel to current FINRA CEO Mary Schapiro at the SEC, and as legal counsel in the SEC's Division of Market Regulation.
Luparello is a graduate of the Washington and Lee University School of Law and received his undergraduate degree in History from LeMoyne College.
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