FacultyFaculty/Author Profile
Amy C. Sochard

Amy C. Sochard

FINRA
Senior Director, Programs and Investigations, Advertising Regulation
Rockville, MD, USA


Amy C. Sochard is the Senior Director in FINRA’s Advertising Regulation Department.  The Department protects investors by helping to ensure that broker dealers use advertisements and other sales communications that are fair, balanced, and not misleading.  Ms. Sochard leads the department’s investigative and targeted examination activities.  She also serves as liaison to other FINRA departments involved in examinations including the Departments of Enforcement and Member Regulation.  In addition, Ms. Sochard oversees staff dedicated to the routine review of communications filed with the Department by broker dealers.  Ms. Sochard assists in the development of rules and interpretations for communications with the public and social media, and she routinely speaks at industry events on these topics.  Prior to joining FINRA’s predecessor (NASD), Ms. Sochard worked with a real estate syndication firm in Washington, DC.  She received a B.A. with Distinction in English from the University of Virginia and studied poetry writing at Columbia University.
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