Meredith Cordisco
Head of Regulatory at Empower
Based in Washington, United States
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Seniority
Director
Department
Legal
Location
Washington
Industry
Financial Services
Company size
13K
Contact information
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m•••••••@empower.com
Phone
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Background
About Meredith Cordisco
During my many years in FINRA's Office of General Counsel, I provided high-quality subject matter expertise on complex broker-dealer legal issues, including, among other areas, SEC’s Regulation Best Interest and suitability, outside business activities and private securities transactions, investment adviser regulation, books and records requirements, legal obligations associated with private placements, Exchange Act Rule 15a-6, and capital formation. I also advised the FINRA Board of Governors, FINRA Board committees, and senior executives on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the FINRA Board. I am a frequent speaker at regulatory policy conferences, on podcasts and panels regarding broker-dealer regulatory issues, such as suitability and the SEC’s Regulation Best Interest, books and records, outside business activities and private securities transactions. Opinions are my own and not those of any employer.
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