Matthew Datre
Associate Principal Examiner at FINRA
- Role
- Associate Principal Examiner at FINRA
- Location
- Middletown, NJ, US
- LinkedIn followers
- 500 followers
About Matthew Datre
I am a securities industry professional that has held various positions over the course of my financial services career. Strong working knowledge of SEC, FINRA and SRO rules and regulations governing the securities industry (i.e, Reg SHO, Reg NMS, Market Access, Limit Up/Down, Market Making, Best Execution, SEC Rule 605 and 606, Large Trader, OATS, Institutional Suitability, Information Barriers, Listed Derivatives, TRACE, FINRA Rule 2711, CAT NMS etc.). Some AML. Experience building, developing, implementing and testing supervisory/surveillance programs. Strong written/verbal communication and analytical/organizational skills.
Experience
Associate Principal Examiner
Nov 2020 — Present · NY, US
Conduct Trading and Execution Examinations for FINRA\'s Division of Market Regulation.
Education
Borough of Manhattan Community College
Associate's degree, Accounting
1994 — 1996
Skills
- Investment Advisory
- Securities
- Financial Services
- Series 24
- Etfs
- Risk Management
- Electronic Trading
- Market Making
- Options
- Alternative Investments
- Hedge Funds
- Financial Markets
- Trading
- Aml
- Trading Systems
- Series 63
- Finra
- Fixed Income
- Equity Trading
- Prime Brokerage
- Sec
- Capital Markets
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