FacultyFaculty/Author Profile

Andrew Small

Scottrade, Inc

Saint Louis, MO, USA


Andrew C. Small is General Counsel and Executive Director of Legal, Compliance and Fraud & Loss Prevention for Scottrade, Inc., a leading online brokerage. Prior to joining Scottrade in August 2003, Mr. Small was Vice President and Compliance Counsel at A.G. Edwards & Sons, Inc. where he was responsible for legal, regulatory and compliance issues relating to e-commerce, technology, operations and anti-money laundering. He formerly served as an enforcement attorney with both FINRA and the Chicago Board Options Exchange. He is currently a member of FINRA’s e-Brokerage Committee and Nominating Committee for District 4. Mr. Small previously served as Chairman of FINRA’s District Committee for District 4 and on the Board of Directors of the National Society of Compliance Professionals. Mr. Small is a graduate of DePaul University School of Law, Chicago, Illinois.
Andrew Small is associated with the following items:
Treatise Chapters  Treatise Chapters Practical Implications Regarding the Safeguarding of Customer Information - Broker-Dealer Regulation (Second Edition), Friday, September 22, 2017
Practical Implications Regarding the Safeguarding of Customer Information - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.