Oyster believes in building strong client relationships by leveraging in-depth knowledge and regulatory expertise.
Lisa is a former FINRA regulator with over 25 years of leadership experience, most recently as the Senior Director of the Membership Application Program (MAP) group. In this role, Lisa oversaw the MAP staff, which conducts the review and analysis of all New and Continuing Membership Applications filed with FINRA. Prior to this, Lisa was an Associate Director in the Examination Program, where she led a team who conduct exams of member firms across the industry. Lisa brings to Oyster’s clients her expertise in Membership rules and processes, as well as guidance on policy-making decisions, program updates, and the impact of regulatory changes on all aspects of a broker-dealer operations. For those starting a broker-dealer or those implementing material changes to an existing broker-dealer, Lisa’s experience at FINRA positions them for success, right from the start.
- FINRA rules and processes relating to New and Continuing Membership Applications. Lisa is listed as a contact on several FINRA Regulatory Notices impacting Membership. (Reg Notice 20-15, 18-23, 16-06, 16-07)
- Business models such as digital assets (3 step/4 step), funding portals, on-line platforms, and traditional business models
- Risk assessment of broker dealer operations. Lisa offers guidance to mitigate risk and achieve desired results
- Broker-dealer transactions (i.e., ownership change, asset transfer)
- Materiality Consultations-Identifying material changes to a firm’s business and assessing impact of changes to supervisory, compliance, financial and operational systems
- Regulatory Relationships
- Generates and implements transformational business procedures, policies, resulting in greater efficiencies and enhanced stakeholder satisfaction
- Collaborates and facilitates cross-functional working groups focused on impact of regulatory changes to broker-dealer operations
- Testifies at Membership Hearings in front of FINRA’s National Adjudicatory Council
- Senior Director, Membership Application Program – FINRA
- Associate Director, Membership Application Program – FINRA
- Associate Director, Examinations – FINRA