Joseph Cusick

Joseph Cusick Email and Phone Number

Chief Regulatory Officer, NASDAQ PHLX @ Nasdaq
4 Times Square New York, New York 10006 United States
Joseph Cusick's Location
Cherry Hill, New Jersey, United States, United States
Joseph Cusick's Contact Details
About Joseph Cusick

Experienced leader, regulator and mentor within the compliance and market regulation fields of financial services. Thirty years of examination, surveillance, investigation, enforcement, and project management. Numerous successful leadership roles at significant Self-Regulatory Organizations. Operated cross-disciplined teams as VP, SVP and Chief Regulatory Officer with a demonstrated history of innovation, consensus building, effectiveness and cost management. Strong business development professional; skilled in securities, management, trading & surveillance systems, securities regulation, and team building. Frequent board, SEC and industry group speaker and presenter.

Joseph Cusick's Current Company Details
Nasdaq

Nasdaq

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Chief Regulatory Officer, NASDAQ PHLX
4 Times Square New York, New York 10006 United States
Website:
nasdaq.com
Employees:
1001
Company phone:
212.498.9197
Company email:
dean.crowe@mdly.com
Joseph Cusick Work Experience Details
  • Nasdaq
    Head Of Nasdaq Marketwatch, Chief Regulatory Officer Nasdaq Phlx
    Nasdaq Jan 2012 - Present
    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
    View
  • - Intermarket Surveillance Group
    Chairman
    - Intermarket Surveillance Group Jan 2020 - May 2022
    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.
  • Nasdaq Omx Futures Exchange (Nfx)
    Chief Regulatory Officer
    Nasdaq Omx Futures Exchange (Nfx) Sep 2007 - Dec 2013
    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.
  • Nasd / Nasd Regulation (Nka Finra)
    Supervisor Of Examiners (District 4)
    Nasd / Nasd Regulation (Nka Finra) Apr 1994 - Jul 2001
    Examiner from 1994 - 1998Supervisor from 1999 – 2001• NASD’s National Regulatory Program – focused investigations of alleged boiler-room firms ’95 – ‘97

Joseph Cusick Skills

Program Management Equities Options Management Securities Risk Management Financial Markets Finra Electronic Trading Policy Trading Systems Securities Regulation Capital Markets Derivatives Financial Regulation Trading Project Management Equity Derivatives Risk Assessment Series 7

Joseph Cusick Education Details

  • Penn State University
    Penn State University
    Accounting

Frequently Asked Questions about Joseph Cusick

What company does Joseph Cusick work for?

Joseph Cusick works for Nasdaq

What is Joseph Cusick's role at the current company?

Joseph Cusick's current role is Chief Regulatory Officer, NASDAQ PHLX.

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What schools did Joseph Cusick attend?

Joseph Cusick attended Penn State University.

What skills is Joseph Cusick known for?

Joseph Cusick has skills like Program Management, Equities, Options, Management, Securities, Risk Management, Financial Markets, Finra, Electronic Trading, Policy, Trading Systems, Securities Regulation.

Who are Joseph Cusick's colleagues?

Joseph Cusick's colleagues are Vincent Hung, Michael Snuffin, Catharine Macdonald, Haley Bernstein, Shambhavi Pathak, Amulya Janakiram, Ingrid Alejandra López Monreal.

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