FacultyFaculty/Author Profile
Grant A. Gartman

Grant A. Gartman

U.S. Securities and Exchange Commission
Assistant Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
Washington, DC, USA


Grant Gartman is an Assistant Director in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Office of FINRA and Securities Industry Oversight (FSIO).  Mr. Gartman is responsible for the regulatory oversight of FINRA and the MSRB.  In this role, he leads a national team of lawyers, accountants, and examiners that conduct inspections of FINRA and the MSRB as well as oversight examinations of broker-dealers.  Prior to the formation of FSIO, Mr. Gartman was an Assistant Director in the Office of Market Oversight and led a team of lawyers, accountants, and examiners responsible for the regulatory oversight of the self-regulatory organizations. 

Mr. Gartman received a J.D. from American University and a B.A. in Economics from Pepperdine University.

Grant A. Gartman is associated with the following items:
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
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