Alan Weiss
About Alan Weiss
Alan Weiss serves as the Principal Analyst at FINRA Market Regulation/Options Regulation, where he focuses on enhancing market surveillance systems and managing regulatory cases. He has a background in law and economics, with previous experience in financial advisory and legal roles.
Work at FINRA
Alan Weiss has served as Principal Analyst at the Financial Industry Regulatory Authority (FINRA) in the Market Regulation/Options Regulation division since 2014. In this role, he conducts process improvement meetings aimed at enhancing the efficiency of FINRA's market surveillance systems and programs. He acts as a liaison between various departments to address key issues and cases. Weiss manages a range of trading-related regulatory cases, including regular sweeps, investigations, and trader tips. He also conducts quarterly reviews and complaint investigations concerning front running, marking, and manipulation cases.
Education and Expertise
Alan Weiss holds a Bachelor of Arts in Economics from Tufts University, where he studied from 1981 to 1985. He furthered his education by obtaining a Master of Arts in Economics from the same institution between 1985 and 1988. Weiss earned his Doctor of Law (J.D.) degree from the University of Miami School of Law, studying from 1990 to 1993. His educational background provides him with a strong foundation in both economics and law, which he applies in his regulatory work at FINRA.
Professional Background
Before joining FINRA, Alan Weiss held several significant positions in the financial and legal sectors. He worked as a Financial Advisor at Merrill Lynch from 2007 to 2008. Following this, he served as Vice President of Investments at JP Morgan Chase in the CISC division from 2008 to 2011. Weiss also practiced law as an Attorney at Wolf Haldenstein Adler Freeman & Herz LLP from 2011 to 2014. His diverse experience in finance and law contributes to his effectiveness in regulatory analysis and compliance.
Regulatory Responsibilities
In his current role at FINRA, Alan Weiss keeps informed of new rules and regulations related to the securities industry. He reviews the disciplinary background of member firms and performs analyses to make recommendations on potential future disciplinary actions. Weiss drafts regulatory inquiries and corresponds with compliance departments of member firms, utilizing proprietary systems and internal systems to investigate possible regulatory violations.