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Steven Price

Senior Vice President, Market Investigations

Steven Price is Senior Vice President, Market Investigations and oversees FINRA’s Market Investigations program, which is responsible for conducting investigations into trading activities, reporting and related processes and controls involving equities, options, and fixed income products and security-based swaps. Mr. Price previously led FINRA’s National Cause Program, which conducts reviews and investigations based on triggering events or regulatory intelligence. Mr. Price re-joined FINRA in April 2020 after spending the previous 12 years serving in multiple roles overseeing broker-dealer compliance and operations for ALPS Distributors and ALPS Portfolio Solutions Distributor. Mr. Price formerly worked in FINRA’s Department of Enforcement and at the Colorado Division of Securities, as well as served as a member on the Colorado Securities Board. Prior to his regulatory roles, Mr. Price was a market maker at the Chicago Board Options Exchange and a litigator specializing in civil and criminal matters.