FacultyFaculty/Author Profile

Joseph J. Sheirer

FINRA
District Director
Woodbridge, NJ, USA


Joseph J. Sheirer is the Director of FINRA’s New Jersey District Office.  Mr. Sheirer oversees the Surveillance, Cycle Examination, and Cause Investigation Programs for member firms and associated persons located in New Jersey and New York (outside of the five boroughs of New York City and Long Island).  Mr. Sheirer previously developed and oversaw FINRA’s national Membership Application Program group and worked in varying capacities in a number of other FINRA departments including Risk Oversight & Operational Regulation, Continuing Education, Testing, and Qualifications & Registration.  Mr. Sheirer is a graduate of Brooklyn Law School and Drew University and is a member of the Bars of the States of New York and New Jersey.
Joseph J. Sheirer is associated with the following items:
CHB Chapters  CHB Chapters FINRA, Report on Conflicts of Interest (October 2013) - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Wednesday, April 26, 2017
Web Segment  Web Segment Identifying and Dealing with Conflicts: The Regulatory Perspective - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Thursday, April 27, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio Identifying and Dealing with Conflicts: The Regulatory Perspective - Identifying and Dealing with Conflicts: The Regulatory Perspective, Thursday, April 27, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Identifying and Dealing with Conflicts: The Regulatory Perspective - Identifying and Dealing with Conflicts: The Regulatory Perspective, Thursday, April 27, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017, New York, NY
Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
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