Reid J. Carroll
Associate
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.
Insights & News
Credentials
-
Education
-
JD, Fordham University School of Law, 2022
cum laude
Fordham International Law Journal
-
BA, Franklin & Marshall College, 2012
-
-
Admissions
-
New York
-
Credentials
-
Education
-
JD, Fordham University School of Law, 2022
cum laude
Fordham International Law Journal
-
BA, Franklin & Marshall College, 2012
-
-
Admissions
-
New York
-