FacultyFaculty/Author Profile
Peter D. Santori

Peter D. Santori

Chicago Stock Exchange

Chicago, IL, USA


Pete is currently Executive Vice President, Chief Regulatory Officer and Ex-Chief Compliance Officer of the Chicago Stock Exchange, Inc.

Pete also served as Senior Vice President and Chief Legal Officer of thinkorswim Group Inc. Appointed in May 2008, Pete provided oversight, guidance and direction regarding all legal, compliance and regulatory matters for the thinkorswim Group Inc. and its subsidiaries, including Investools, Inc.

Prior to joining as the General Counsel of thinkorswim Group Inc., Pete served at FINRA, formerly NASD, from 1994 through 2012. At FINRA, Pete served in roles of increasing responsibility, culminating with the managerial position of Chief Counsel to the Market Regulation Department.

Pete received a B.S. in Finance from Saint Joseph's University, an M.B.A. in International Business Administration from Temple University, a J.D. from the Widener University Law Center and Masters of Laws in Securities and Financial Regulation, and Taxation from the Georgetown University Law Center. Pete is a member of the Illinois, Maryland, New Jersey and Pennsylvania Bars.
Peter D. Santori is associated with the following items:
CHB Chapters  CHB Chapters Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 8, 2017) (PowerPoint slides) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Web Segment  Web Segment Compliance and Legal Challenges Regarding Fintech - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
MP3 Audio  MP3 Audio Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
Transcripts  Transcripts Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Legal Challenges Regarding Fintech - Compliance and Legal Challenges Regarding Fintech, Monday, November 13, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
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