FacultyFaculty/Author Profile

Raymond Lombardo

U.S. Securities and Exchange Commission
Assistant Director, Division of Trading and Markets
Washington, DC, USA


Raymond is the Assistant Director in the Office of Financial Responsibility (OFR) in the Division of Trading & Markets. His daily responsibilities focus on administering the Commission’s net capital, customer protection, notification, and recordkeeping and reporting rules governing broker-dealers. He is a staff representative on the Financial Stability Board Cross Border Crisis Management Group and serves as liaison for coordination with the U.S. banking regulators on matters such as resolution planning, information sharing, and other initiatives impacting broker-dealers. He joined the Commission staff in 2004 in the Office of Market Supervision within the Division of Trading & Markets where he worked on equity market structure matters such as Regulation NMS. He has also served as a Senior Counsel with the Commission’s Office of General Counsel where he provided the Commission with legal advice with respect to numerous rulemakings and enforcement matters. He is a graduate of Fordham University School of Law and Fordham College.
Raymond Lombardo is associated with the following items:
Web Segment  Web Segment Workshop G: Trading and Markets - The SEC Speaks in 2018, Tuesday, February 27, 2018
MP3 Audio  MP3 Audio Workshop G: Trading and Markets - Workshop G: Trading and Markets, Tuesday, February 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Workshop G: Trading and Markets - Workshop G: Trading and Markets, Tuesday, February 27, 2018
On-Demand Web Programs  On-Demand Web Programs The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC
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