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John F. Malitzis

John F. Malitzis

FINRA

New York, NY, USA


John F. Malitzis is an Executive Vice President in the Market Regulation Department of the Financial Industry Regulatory Authority (“FINRA”).  John oversees surveillance of the New York Stock Exchange and American Stock Exchange equity markets, and shares responsibility for cross-market surveillance.  John is also responsible for the trading, financial, and operations examination covering both equity trading and options markets trading on Nasdaq, BATS, NYSE and CBOE.

Immediately prior to joining FINRA, John was Executive Vice President for the Division of Market Surveillance, for NYSE Regulation. In this capacity, John oversaw the surveillance of trading in NYSE and Amex-listed securities by member firms including monitoring for compliance with NYSE and Amex and SEC rules, manipulation, and insider trading.  John joined the NYSE Regulation in October 2004.

Prior to NYSE Regulation, John was a Senior Vice President and Associate General Counsel for the Institutional Equities Division of Citigroup Global Markets, Inc.  For nearly nine years, John was employed by the NASD/The Nasdaq Stock Market, in the General Counsel’s office and later in Transaction/Market Services.  Prior to the NASD, Mr. Malitzis was a trial attorney for the Commodities Futures Trading Commission and a Law Clerk at the U.S. Department of Labor.  Mr. Malitzis also has taught at the Catholic University, Columbus School of Law.

Mr. Malitzis received his J.D. from Boston College Law School, where he was a member and editor of the U.C.C. Reporter-Digest.   John graduated Summa Cum Laude from the University at Albany, SUNY, where he was also a member of Phi Beta Kappa.  John is the co-founder of the Institute from Financial Market Regulation, which focuses on training university and law school student to enter the legal and compliance profession at financial institutions.
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