Nick Vitalo
Assistant General Counsel, Regulatory Practice & Policy
- Role
- Assistant General Counsel, Office of General Counsel at FINRA
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
Experience
Assistant General Counsel, Office of General Counsel
Mar 2023 — Present · NY, US
Review and draft rule proposals; gather and incorporate views of internal stakeholders, other regulators and industry participants regarding the impact and efficacy of the proposals; and prepare rule filings to the SEC. Research and draft memoranda into matters of regulatory policy to assist in developing rule proposals. Provide legal and interpretive advice to various constituents within and outside of FINRA concerning FINRA\'s rules as well as the federal securities laws and rules. Support FINRA\'s National Examination Program and its associated regulatory responsibilities pursuant to Exchange Act Rule 17d-2 by advising the organization on applicable rules and regulatory standards.
Education
Fordham University
B.S., Business Administration, Finance, Marketing, Economics, International Business
2005 — 2009
Chaminade High School
Diploma
2001 — 2005
Touro University Jacob D. Fuchsberg Law Center
J.D.
2009 — 2012
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