Biography

Ms. Rina Hussain is an Assistant Director in the Broker-Dealer Exchange group within the Office of Compliance, Inspections and Examinations of the US Securities and Exchange Commission. Ms. Hussain holds a BS degree in Accounting from Rutgers University and an MBA in Finance & Economics from Fordham University. She has worked in the securities industry for over twenty years at the SEC, FINRA and broker-dealers. Most of her work has been in the arena of examinations of broker-dealers and Self-Regulatory Organizations (SROs) giving her an opportunity to develop an expertise relating to firms' order handling and trading practices and policies & procedures. She has also conducted inspections of equity and options exchanges and FINRA, where she has reviewed regulatory programs relating to internal controls, order handling and equity and fixed income surveillance.

Associated Items

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