FacultyFaculty/Author Profile
Thomas R. Gira

Thomas R. Gira

FINRA
Executive Vice President, Market Regulation & Transparency Services
Rockville, MD, USA


Thomas Gira is the Executive Vice President of FINRA's Market Regulation and Transparency Services Departments.  Market Regulation conducts surveillance and trading examinations of activities in the over-the-counter markets overseen by FINRA -- Trade Reporting Facilities, ADF, unlisted equities, TRACE and municipal bonds.  Market Regulation also provides regulatory services to the exchanges operated by NASDAQ, ICE/NYSE, CBOE/BATS, and MIAX, as well as IEX and BOX.  Transparency Services is responsible for all FINRA transparency initiatives in the fixed income and equity markets and operates FINRA’s market systems -- TRACE, ADF, OTC Equity Reporting Facility, OTC Bulletin Board, and Trade Reporting Facilities.

By combining FINRA’s trading data with data from its client exchanges, Market Regulation conducts comprehensive cross market equity surveillance for U.S.-listed equities and options markets.  Market Regulation conducts surveillance for, among other things, manipulative trading algorithms, best execution, trade reporting, order exposure rules for options, OATS, Regulation NMS, short sales, fixed income pricing, Regulation M, and order handling. 

Before joining FINRA in 1997, Mr. Gira was an Associate General Counsel at Nasdaq.  Prior to that, he was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC.

Mr. Gira received his undergraduate degree from Wake Forest University and his J.D. from the University of Maryland.

Thomas R. Gira is associated with the following items:
Web Segment  Web Segment Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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