FacultyFaculty/Author Profile

Sandra Clarke

FINRA
Associate Director, FINRA Membership Application Program
New York, NY, USA


Sandra Clarke is an Associate Director of the Membership Application Program (“MAP”) located in the New York District Office. She currently oversees new member and continuing membership applications; funding portal membership, surveillance and examinations; the subordinated loan program; and membership applications for certain exchanges governed under Regulatory Service Agreements with FINRA. She commenced her employment with FINRA in 1990. From 2010 to 2013, Sandra was an Examination Manger in the New York District Office Sales Practice Program and was responsible for managing the examinations of broker-dealers and their branch offices.  Prior to joining Member Regulation, Sandra worked in the New York Office of Dispute Resolution for eight years and held various positions including Sr. Legal Assistant and Regional Support Team Supervisor.
Sandra Clarke is associated with the following items:
Web Segment  Web Segment Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
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