Evan Rosser

Background

About Evan Rosser

Evan Rosser is a Director with Oyster Consulting, LLC and is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors. As an Oyster consultant, Evan has provided CCO and CCO support services to both broker-dealers and investment advisors. Evan has also served as both a SEC-approved and a FINRA approved independent consultant. His recent broker-dealer engagements have focused on market issues such 15c3-5 compliance, Reg SHO, and order type behavior. During his regulatory career, Evan supervised FINRA Enforcement’s investigative staff of more than 40 supervisors, investigators, and examiners. He oversaw investigations that lead to the expulsion of many notorious microcap “boiler rooms” and the barring of many of their associated persons. His staff investigated and successfully completed numerous cases alleging market manipulation, abusive sales practices, excessive equity markups and mark-downs, books and records deficiencies, and NASD/FINRA corporate financing and advertising rule violations. Evan developed and provided training on securities fraud, U.S. equity markets, Nasdaq and OTC/Pink Sheet trading, and investigative techniques to SEC examining staff, FBI agents, the U.S. Department of Labor, criminal prosecutors around the country, RCMP investigators in Toronto and Vancouver, and numerous state and Canadian provincial regulators. Prior to joining NASD, Evan worked for two Broker-Dealer firms and currently holds Series 7, 24, and 63 registrations. Evan is a member of the National Society of Compliance Professionals (NSCP), SIFMA's Financial Management Society, the Financial Markets Association, and the Association of Certified Anti-Money Laundering Specialists (ACAMS). Contact Information: 202-631-0213 evan.rosser@oysterllc.com Specialties: FINRA and SEC rules and regulations FINRA investigations, examinations, and sweeps BD sales practice compliance and supervision Investment Adviser compliance Supervisory procedures and processes Anti-money laundering Regulatory risk management Collaborative, strategic compliance and regulatory planning