Wallace's responsibilities included leading OCC's compliance program, working with OCC's regulators, advising OCC's board of directors and management team on compliance requirements, and records management.
Prior to joining OCC, he was a partner at Foley & Lardner LLP in Washington, D.C., where his practice focused on representing and advising securities broker-dealers, securities exchanges, and investment advisers and their employees. Previously, he was Vice President and Chief Counsel in FINRA's Market Regulation Department. Additionally, Wallace has served as a Branch Chief and Attorney with the U.S. Securities and Exchange Commission's Division of Enforcement.
Wallace earned his J.D. and A.B. in Political Science from the University of California, Berkeley.
JLN News Feed
Alarm Bells Ringing in Options Market Point to Volatility Ahead; Money Stuff: You Can’t Just Call Loans Options
Hong Kong Exchange Drops on Worry Protests Will Hurt Trading; Homespun Firms Challenge Wall Street’s Muni-Bond Supremacy
CME Group Announces Resignation of Alex J. Pollock from Its Board of Directors to Accept Senior Position with the U.S. Treasury
Nasdaq Announces End-of-Month Open Short Interest Positions in Nasdaq Stocks as of Settlement Date October 31, 2019
[JPX,TSE,OSE,JPX-R,JSCCJPX Monthly Headlines - October 2019]
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