Randall W. Roy
Attorney at U.S. Securities And Exchange Commission
Based in Chevy Chase, United States
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Seniority
Staff
Department
Legal
Location
Chevy Chase
Industry
Financial Services
Company size
4.6K
Contact information
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r•••••••@sec.gov
Phone
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Background
About Randall W. Roy
Over 26 years of experience as an attorney in the Division of Trading and Markets, United States Securities and Exchange Commission. Work experience includes managing substantial rulemaking projects, serving on international standard setting bodies, providing technical assistance to Congress on financial institution legislation, and responding to broker-dealer financial emergencies. Areas of expertise include: • Broker-Dealer Capital, Margin, and Segregation Requirements. • Broker-Dealer Recordkeeping and Reporting Requirements. • Broker-Dealer Liquidation Statutes. • Dodd-Frank Act Security-Based Swap Dealer Financial Responsibility Provisions. • Substituted Compliance for Foreign Security-Based Swap Dealers • Regulation of Credit Rating Agencies (NRSROs). • Cybersecurity & Custody of Crypto Assets
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