Joseph Cusick Email & Phone Number

New York, Ny, Us

Lead Nasdaq's U.S. equity and options market surveillance program. Monitoring three equity and six options markets, plus the Nasdaq PHLX options trading floor. Lead Nasdaq's U.S. Membership Department which vets broker-dealer applicants and oversees individual qualification examination requirements for associated persons. Frequently present to exchange regulatory boards, the SEC and industry groups. Facilitate regulatory functions outsourced by Nasdaq, including broker-dealer examinations, select market surveillance and member firm registration programs. + MarketWatch - Equity Surveillance as of 2024+ Membership Department as of 2018CRO as of September 2010Head of Options Surveillance 2009Deputy CRO - 2005 to August 2010SVP Regulatory Programs 2003 - 2004VP Examinations & Investigations 2002 - 2003VP Examinations 2001

Served as Chair of the ISG during the 2020 - 2022 global pandemic. Together with the organization's executive committee, guided this international group of surveillance and market regulation practitioners from sixty exchanges located around the world, through two plus years of technological innovation, expansion and virtual conferences. ISG Deputy Chairman 2018 - 2019.

Regulated Philadelphia Board of Trade (PBOT), NASDAQ OMX Futures Exchange (NFX), and NASDAQ Futures, Inc. (NQF) during seven interesting transitional years. This DCM saw moderate trading volume over the six years in products like currencies, interest rates, and gold.• Managed internal regulatory team and the National Futures Association; that provided surveillance and investigative functions.• As CRO, brought disciplinary actions against members; primarily related to Off-Exchange trading activities. Worked with CFTC and other regulators on industry wide initiatives.• Presented regulatory policy, rule, and operational updates to Board of Governors and the Regulatory Oversight Committee.• Transitioned the market to a new electronic real-time surveillance process utilizing SMARTS technology.

Examiner from 1994 - 1998Supervisor from 1999 – 2001• NASD’s National Regulatory Program – focused investigations of alleged boiler-room firms ’95 – ‘97