Biography

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.