FacultyFaculty/Author Profile
Rina Hussain

Rina Hussain

U.S. Securities and Exchange Commission
Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations
Washington, DC, USA

Ms. Rina Hussain is an Assistant Director in the Broker-Dealer Exchange group within the Office of Compliance, Inspections and Examinations of the US Securities and Exchange Commission. Ms. Hussain holds a BS degree in Accounting from Rutgers University and an MBA in Finance & Economics from Fordham University. She has worked in the securities industry for over twenty years at the SEC, FINRA and broker-dealers. Most of her work has been in the arena of examinations of broker-dealers and Self-Regulatory Organizations (SROs) giving her an opportunity to develop an expertise relating to firms' order handling and trading practices and policies & procedures. She has also conducted inspections of equity and options exchanges and FINRA, where she has reviewed regulatory programs relating to internal controls, order handling and equity and fixed income surveillance.
Rina Hussain is associated with the following items:
On-Demand Web Programs  On-Demand Web Programs The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC
Live Seminar  Live Seminar The SEC Speaks in 2019, Monday, April 08, 2019, Washington, DC
Live Webcast  Live Webcast The SEC Speaks in 2019, Monday, April 08, 2019, Washington, DC

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

© 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.