Mike Nie

About Mike Nie

Broker-dealers; financial instruments; banking and capital markets; audit, assurance and advisory; and regulatory compliance. Credentials and certificates: 1. CFA Charterholder (since 2002), 2. CPA (Virginia, since 2006), 3. FRM (since 2021),4. CFP® since 2021,5. SCR (Sustainability and Climate Risk since 2021), 6. Risk and AI (since 2025),7. Distinguished Toastmasters (since 2014), and 8. Passed FINRA securities license exams:(1) Series 27 - Financial and Operations Principal Qualification (2015);(2) Series 7 - General Securities Representative Qualification (2016);(3) Series 65 - Uniform Investment Adviser Law Examination (2018); and (4) Series 6 - Investment Company and Variable Contracts (2018).

Experience

1. Branch Chief

   U.S. Securities And Exchange Commission

   Jan 2014 — Present · Washington, DC, US

   Division of Trading and MarketsCo-chair, AAPI Committee of the SEC, 20••••18

Education

• University of Maryland - Robert H. Smith School of Business

  MBA, Finance

  1997 — 1999

• Nankai University

  MS, Finance

  1987 — 1994

Skills

• Equities
• Finance
• Valuation
• Cpa
• Sarbanes-Oxley Act
• Due Diligence
• Enterprise Risk Management
• Investments
• Internal Controls
• Financial Analysis
• Capital Markets
• Asset Management
• Financial Advisory
• Corporate Finance
• Trading
• Investment Banking
• Auditing
• Structured Finance
• Financial Services
• Banking
• Risk Management
• Fixed Income
• Asset Managment
• Accounting
• Financial Modeling
• Financial Reporting
• Us Gaap
• Financial Institutions
• Leadership