FacultyFaculty/Author Profile

Allison Reid

FINRA
Associate Director
New York, NY, USA


Allison Reid is an associate director for FINRA's Membership Application Program, where she is responsible for overseeing the new and continuing membership application reviews for firms in the Northern, Western and Midwestern regions. Previously, she was associate director with FINRA's Next Generation Regulatory Initiatives Group, where she worked with internal and external constituents in the development of the regulatory intelligence framework, methodology and business processes around the new membership application program. Previously, Ms. Reid was director for international education and training with NASD's International Division. Ms. Reid joined NASD in 1997, and has served in a number of capacities, including an associate director for the New York District Office, where her responsibilities included managing that District Office's Membership Application Program, as well as managing other regulatory functions including examinations of member firms and the inspection of their compliance with various rules and regulations. Ms. Reid was also the national membership manager in the Office of Regulation Policy in the Department of Member Regulation, in Washington, DC. Additionally, Ms. Reid was selected as a national expert for NASD's Regulatory Expertise Group for the Membership Application Program, and acts as a resource to staff and external constituents on membership issues. Ms. Reid earned the Certified Compliance and Regulatory Professional (CRCP™) designation from the FINRA Institute at Wharton, earned her MBA in Finance from Fordham University's Graduate School of Business, and her law degree from Fordham Law School in New York; she is a member of the New York bar.

Allison Reid is associated with the following items:
Web Segment  Web Segment Overview of the Regulatory Framework and the Regulators - Fundamentals of Broker-Dealer Regulation 2012 , Tuesday, July 03, 2012
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2012 , Monday, July 09, 2012 , New York, NY
Audio CD  Audio CD Fundamentals of Broker-Dealer Regulation 2012 , Monday, July 23, 2012 , New York, NY
Live Seminar  Live Seminar Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New York, NY
Fundamentals of Broker-Dealer Regulation 2012 , Monday, June 25, 2012 , New York, NY
Live Webcast  Live Webcast Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Birmingham, AL
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Pittsburgh, PA
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New Brunswick , NJ
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Boston, MA
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Philadelphia, PA
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Mechanicsburg, PA
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