FacultyFaculty/Author Profile
Joseph E. Price

Joseph E. Price

Financial Industry Regulatory Authority (FINRA)
Senior Vice President, Corporate Financing/Advertising Regulation
Washington, DC, USA


Joseph E. Price is the Senior Vice President, Corporate Financing/Advertising Regulation at FINRA. The FINRA Corporate Financing Department regulates capital-raising activities of broker/dealers; including equity, debt, REIT, closed-end fund and limited partnership offerings. The FINRA Advertising Regulation Department regulates broker/dealer sales materials, mutual fund advertisements and other communication with the public. Joe previously worked in various capacities at the Securities and Exchange Commission (SEC). He was an Assistant General Counsel and a Special Counsel in the Office of General Counsel and he was the Deputy Chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Prior to working at the SEC, he was a litigator in the Bureau of Competition at the Federal Trade Commission. Joe also worked as a Compliance Investigator at the Coffee, Sugar and Cocoa Exchange. He was an Adjunct Professor at Georgetown University Law Center from 1994 to 2003, where he taught "Current Issues in Securities Regulation" and "Disclosure under the Federal Securities Laws." He was an Economics major at the University of Wisconsin and received his law degree from Fordham University.
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