FacultyFaculty/Author Profile

Allison Reid

FINRA
Regulatory Principal
New York, NY, USA


Allison Reid is a regulatory principal with FINRA’s Membership Application Program. Her responsibilities include conducting legal reviews of transactions, including stock purchases and asset sales. She also provides strategic guidance on complex new and continuing membership matters and is responsible for developing and delivering regulatory training. Ms. Reid has worked as an associate director in FINRA’s Membership Application Program and 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 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.

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