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Chief Compliance OfficerSpecialties: Capital Markets -- Equity Trading - Reg. NMS, Reg. SHO (Short Sales), Reg. ATS and Electronic Trading, Mkt. Making and Principal Trading, Best Execution, OATS Reporting, and Options. Market Structure - Domestic and Int'l Exchanges, ATSs (Dark Pools) and ECNs. Compliance and Risk Mgt. -- WSPs and Supervisory Controls.
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Head Of Global Compliance And Us CcoLiquidnet May 2012 - May 2020Greater New York City And BostonResponsible for providing regulatory and compliance support to the Firm’s global ATS and brokerage operations that span 5 continents and over 43 markets. Manage over 14 global compliance personnel – with offices in New York, Hong Kong, Tokyo, Toronto, Sydney and Singapore. A member of the Firm’s leadership team. Responsible for handling and successfully resolving all regulatory matters before the various global regulatory authorities. -
CounselBracewell & Giuliani Llp 2010 - 2012A member of the Firm's financial services group that provided comprehensive regulatory advice on compliance with federal, state and self-regulatory organization rules and regulations to clients in the financial services industry, with particular emphasis on broker-dealers, investment advisers, and alternative investment entities (i.e., Hedge and Private Equity Funds, and Proprietary Trading Firms). Provided legal representation to clients in regulatory matters before the SEC, CFTC, FINRA and other SRO’s. -
Svp And Chief Compliance OfficerFidelity Investments - Fidelity Capital Markets 2001 - 2008• A member of the senior management team of Fidelity Capital Markets (FCM) and the Chief Compliance Officer of the Compliance Department. Provided high quality regulatory/compliance services to FCM’s Domestic and International Equity Trading, Prime Services (i.e., hedge funds and private equity), Syndicate, Structured Products and Options, Fixed Income Sales and Trading, Regulatory Reporting and Stock Loan businesses.• Lead compliance support to FCM’s equity trading operations, including support for Nasdaq and Listed market making trading, institutional equity trading (Agency), international trading, program trading, ATS crossing engine (CrossStream), algorithmic trading, soft dollar practices, affiliated trading (ERISA), and ACT/OTS/OATS reporting.• Exclusively handled and successfully resolved significant regulatory actions before the SEC, FINRA, NYSE and other SRO’s for the business unit.• Directly handled a number of significant regulatory actions: SEC’s regional exchange specialist investigation; SEC’s (OCIE) comprehensive best execution examination of listed and Nasdaq trading; FINRA’s directed brokerage inquiry; NYSE’s sponsored direct market access inquiry; and US Department of Justice’s exchange merger impact inquiry.
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Assistant General CounselFidelity Investments -- Legal Department 1998 - 2001•A member of Fidelity's Legal Department that provided direct legal support to the various legal entities and businesses known as Fidelity Investments. Provided direct day-to-day legal support to the businesses known as the Fidelity Brokerage Company (FBC) that included an institutional (NFS LLC) and retail broker/dealer (FBS LLC), and other advisory businesses outside Fidelity Funds. Responsibilities included: Providing direct legal and regulatory advice and support to business initiatives; leading regulatory investigations or inquiries; monitoring internal regulatory programs; and maintaining relationships with regulators (i.e., SEC, FINRA, etc.). -
CounselFinra (Formerly The Nasd) -- Office Of General Counsel, Market Regulation And Enforcement 1990 - 1998Washington D.C. Metro Area• A member of the General Counsel's Office and provided direct legal and regulatory advice to FINRA operating entities, member broker-dealers, and the public on issues regarding the FINRA Rules and the federal securities laws.• Acted as counsel to the Regulatory Policy Group and provided legal and regulatory advice to member broker-dealers and the FINRA District Offices (i.e., examination program) in assuring consistent application of FINRA's rules and regulations.• A member of the Market Regulation and Enforcement Legal Departments and provided legal advice to the departments in surveillance of the OTC equity, fixed income and the Nasdaq Stock markets. -
Corporate AssociateWashington, Perito & Dubuc (Formerly: Finley, Kumble, Et Al.) 1988 - 1990• A corporate associate in the firm's securities practice group and provided legal and regulatory advice to broker-dealers, investment advisors and related investment companies, and registered corporate issuers.
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Branch StaffSec - Northeast Regional Office And Division Of Corporation Finance (Washington D.C.) 1984 - 1988•Provided direct regulatory support to the Northeast Regional Office’s Investment Company/Investment Advisor inspection, Broker/Dealer inspection, and Enforcement programs activities within the 6 New England States. Successfully handled a number of major regulatory and enforcement investigations/actions identifying federal securities law violations by registered entities and public issuers. •Advised the public and SEC registrants on all facets of the capital formation and corporate filing process, including initial public offerings, private placements (Section 4(2) and Reg. D), Rule 144A offerings and transactional exemptions under the Securities Act of 1933 and the Securities Exchange Act of 1934.
David Spotts Skills
David Spotts Education Details
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Securities Regulation And Taxation
Frequently Asked Questions about David Spotts
What is David Spotts's role at the current company?
David Spotts's current role is Head of Global Compliance and US CCO.
What is David Spotts's email address?
David Spotts's email address is ds****@****net.com
What is David Spotts's direct phone number?
David Spotts's direct phone number is (646) 674*****
What schools did David Spotts attend?
David Spotts attended Georgetown University Law Center, Suffolk University Law School.
What skills is David Spotts known for?
David Spotts has skills like Securities, Finra, Securities Regulation, Capital Markets, Equities, Trading, Options, Hedge Funds, Financial Services, Broker Dealer, Sec, Fixed Income.
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