Reid J. Carroll

Reid Carroll advises broker-dealers, securities exchanges and other financial institutions, including financial technology companies, on a variety of complex regulatory, compliance and enforcement matters, including SEC, FINRA, and other self-regulatory organization rules and regulations. Prior to joining the firm, Mr. Carroll held several positions with the New York Stock Exchange. In his most recent role as a Manager with NYSE Regulation, Mr. Carroll managed, developed, investigated and approved surveillances monitoring member firms and US equities and options exchanges to ensure compliance with applicable laws and regulations. Source

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