Regulatory Intelligence

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16 Years

in Business

Accredited

Business

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Hours

Mutual Funds
While at the New York Stock Exchange, Ms. Sardanopoli planned, conducted, and supervised routine and special examinations of NYSE and NASD brokerage firms in order to determine compliance with SEC, NYSE, NASD, CBOE, and MSRB rules. The Sales Practice Examinations of small, mid-size, and large firms included reviews of member firms' sales practices to insure compliance with established procedures and regulatory requirements. These reviews included but were not limited to Suitability, Unauthorized Trading, Excessive Trading, Misrepresentation, Mutual Funds, Underwriting Activities, Banking and Research, Anti-Money Laundering and Continuing Education. At the completion of each examination, she communicated the findings to senior management of the member firms, NYSE, and other regulatory agencies—both verbally and in written correspondence. Ms. Sardanopoli also assisted with ongoing training of new examiners.

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