FacultyFaculty/Author Profile

Richard E. Pullano

FINRA Registration and Disclosure
Associate Vice President & Counsel
Rockville, MD, USA

Rick Pullano is Vice President and the Chief Counsel to RAD, FINRA. In this capacity, he is responsible for providing counsel to FINRA staff and committees on legal, policy, and strategic issues relating to CRD®, IARDTM, FINRA's BrokerCheck® Program, as well as FINRA's rules governing the registration of broker-dealers and their associated persons. Mr. Pullano is RAD's principal legal and policy liaison with the SEC, other self-regulatory organizations, and other regulators that participate in the CRD and IARD programs. He also leads RAD's Legal and Policy unit, which is charged with ensuring consistency in the development of RAD policies and interpretive guidance, administering the Rule 2080 expungement process and supporting uniform registration forms development, among other responsibilities. Mr. Pullano joined FINRA (then NASD) in 1998 after 10 years with the SEC in various positions, including Senior Counsel in the Office of Chief Counsel, Division of Market Regulation (now known as Trading & Markets). He received his Bachelor of Arts degree cum laude from the State University of New York at Fredonia, and his Juris Doctorate degree from the Columbus School of Law at The Catholic University of America.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.