Anthony Albanese is the Chief Regulatory Officer of the New York Stock Exchange. Mr. Albanese leads the NYSE Regulation group of approximately 100 employees in overseeing regulatory compliance of the various NYSE exchanges, NYSE members and NYSE listed companies. NYSE Regulation monitors and enforces compliance with the exchange rules and applicable federal securities laws by the NYSE exchanges and their members. This involves conducting daily, real-time surveillance of the markets to identify, prevent and remedy misconduct in the marketplace, and investigating and prosecuting enforcement actions. The group also has responsibility for approving entities for listing on the NYSE exchanges, and monitoring and enforcing their compliance with applicable listing standards and rules.
Prior to joining NYSE, Mr. Albanese served as the Acting Superintendent of the New York State Department of Financial Services, where he ran an agency of 1,400 employees, regulating more than 3,800 financial services entities, with total assets of more than $7 trillion. Prior to assuming that position, Mr. Albanese served as the Department’s Chief of Staff. Prior to DFS, Mr. Albanese spent 13 years at Weil, Gotshal & Manges, where he was a partner specializing in securities litigation.
Mr. Albanese holds a J.D. from St. John’s University School of Law, where he was an Editor of the Law Review, and a B.A. from Union College. Following law school, he served as a judicial clerk to the Honorable Joseph W. Bellacosa, Judge of the New York State Court of Appeals.