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Attending the FMA Legal and Legislative Conference

November 2, 2016 - November 4, 2016

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On November 2-4, 2016, Oyster Director Evan Rosser will be attending the FMA Legal and Legislative Conference in Washington, DC.

 

Evan Rosser is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors. As an Oyster consultant, Evan has served as CCO for both investment advisors and broker-dealers, as well as providing CCO support to several additional firms. Evan has also served as both a SEC-approved and a FINRA-approved independent consultant. Evan’s recent broker-dealer engagements have focused on market issues such 15c3-5 compliance, Reg SHO, and order type behavior. Prior to consulting, Evan supervised FINRA Enforcement’s investigative staff of more than 40 supervisors and examiners, and successfully completed hundreds of investigations alleging numerous FINRA and SEC rule violations including NASDAQ and OTCBB trading violations, excessive equity markups , and NASD/FINRA corporate financing and advertising rule violations.

 

To learn more about how Oyster can assist your firm with its regulatory compliance, complete our contact form and one of our Relationship Managers will be happy to help you.