Biography

Grant Gartman is an Assistant Director in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Office of FINRA and Securities Industry Oversight.  In this role, he leads a national team of lawyers, accountants, and examiners that conduct examinations of FINRA, the MSRB, and broker-dealers to ensure compliance with the federal securities laws, FINRA rules, and MSRB rules.  Prior to becoming an Assistant Director, Mr. Gartman was a Senior Special Counsel in OCIE’s Office of Market Oversight, which was responsible for inspections of the self-regulatory organizations, including the equity and options exchanges, FINRA, MSRB, PCAOB, and SIPC.  Mr. Gartman has been with the Commission since 2000.  He received a J.D. from American University and a B.A. in Economics from Pepperdine University. 

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Date
Program or Publication
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4/15/2019
On-Demand