Richard Shulman

Richard Shulman is Vice President, Surveillance Optimization and Innovation. He manages a team responsible for improving the efficiency and effectiveness of FINRA’s surveillance program through continuous innovation and optimizing and refining surveillance patterns and business processes.

Prior to his current role, Mr. Shulman was Vice President, Market Regulation Research and Data Analytics in Market Regulation. He was responsible for building and leading Market Regulation’s advanced analytics program and dedicated market data and analytics team. He originally joined FINRA in 2011 as an analyst on the Exchange Traded Products team before joining the data and analytics team in 2019.

Before joining FINRA, Mr. Shulman worked in private practice at a law firm in Chicago. He graduated from Chicago-Kent College of Law and earned a B.S. in Finance from the University of Illinois Urbana-Champaign.