Hi, I never did introduce myself. I joined in January of this year and I wish I had found this site a few years ago. But everything is going great now and I'm here to try and help in any way I can.
I am a regulatory analyst for the National Association of Securites Dealers. We are a self-regulatory organization that works with the SEC and all the states in regulating all the stock brokers in the country, over 600,000 and also all the brokerage firms in the nation. The area I work in deals with the registered agents that have any kind of disciplinary or what we call disclosure history. Customer complaint, arbitrations, judgments, bankruptcies, disciplinary actions taken by the states, SEC, stock exchanges, NASD, criminal charges, etc. against the agents.
I reviews these records, and using federal and our own guidelines determine whether an agent should be allowed to work in the industry. For instance if a agent has had a felony conviction within 10 years they are what we call statutorily disqualified. I review a lot of court documents each day and research charges, statutes, call the courts and district attorney's offices if necessary. I have been working here for over 10 years and really like the job.
I am married and have a wonderful two year old child and I live in Maryland just outside of Washington D.C. Well that's a little bit about me
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