Expertise
Securities Act of 1933
Securities and Exchange Act of 1934
Investment Advisers Act of 1940
Investment Company Act of 1940
Commodity Exchange Act
FINRA Rules and Regulations
NFA Rules and Regulations
NYSE, NASDAQ, CBOE, CBT, NYMEX Rules
Broker/Dealer Compliance and Regulatory Issues
Investment Advisor Compliance and Regulatory Issues
Listed Options and OTC Derivatives
Futures and Commodities
Suitability and Fiduciary Duty
Employment Issues including U-4 and U-5
Margin Rules and Regulations, including Portfolio Margin
Clearance and settlement issues
Broker/dealer operations
(For search purposes, not intended to be a comprehensive list)
Expertise
Securities Act of 1933
Securities and Exchange Act of 1934
Investment Advisers Act of 1940
Investment Company Act of 1940
Commodity Exchange Act
FINRA Rules and Regulations
NFA Rules and Regulations
NYSE, NASDAQ, CBOE, CBT, NYMEX Rules
Broker/Dealer Compliance and Regulatory Issues
Investment Advisor Compliance and Regulatory Issues
Listed Options and OTC Derivatives
Futures and Commodities
Suitability and Fiduciary Duty
Employment Issues including U-4 and U-5
Margin Rules and Regulations, including Portfolio Margin
Clearance and settlement issues
Broker/dealer operations
(For search purposes, not intended to be a comprehensive list)
Jim is a senior compliance executive with over 30 years of experience in the securities industry. He has extensive knowledge focusing on regulatory and compliance programs at large institutions. With a history of working as a Chief Compliance Officer at some of the leading Wall Street firms, he is a highly seasoned professional, experienced in all facets of compliance and operations for Broker/Dealers, Investment Companies, and Registered Investment Advisers.
Jim has extensive expertise in SEC, CFTC, FINRA, and NFA regulations and their application.
In previous roles, he held Chief Compliance Officer positions in firms including TD Ameritrade and TIAA-CREF, and was Managing Director, Head of Global Equities Compliance at Goldman Sachs. Earlier in his career, he worked in Compliance at PaineWebber, First Union Capital Markets Corp., and Salomon Smith Barney Corp, and was a Special Investigator at the NASD (now FINRA).
He has a BS in Finance from the University of Maryland.
Mr. Reilly previously held the Series 3, 4, 7, 8, 14, 24, 63, 65 securities industry licenses.
Curriculum Vitae
SER Voting Member
