Michael is an accomplished leader on regulatory aspects of the US trading and capital markets, regulations, compliance oversight, and firm supervisory procedures. Areas of expertise include SEC compliance, market structure issues regarding NMS and OTC Equity securities, registration issues, compliance and supervisory policies and procedures, regulatory exams, and compliance audits. Mike is also a member of the International Committee and Trading Issues Committee of the Securities Traders Association (STA) of New York, and a member of the Compliance Committee at the STA.