Dave Klafter
About Dave Klafter
Dave Klafter serves as Chief Counsel at FINRA, where he has worked since 1999. He possesses extensive expertise in SEC and FINRA regulations, particularly related to securities offerings and exemptions.
Work at FINRA
Dave Klafter has served as Chief Counsel at the Financial Industry Regulatory Authority (FINRA) since 1999. His role encompasses providing legal guidance on various regulatory matters, particularly those related to securities offerings and exemptions. Based in Boca Raton, Florida, Klafter has accumulated 25 years of experience at FINRA, contributing to the organization's mission of ensuring market integrity and protecting investors.
Education and Expertise
Dave Klafter holds a Doctor of Law (JD) degree from New York Law School. He also earned a Bachelor of Science (BS) from Syracuse University's Martin J. Whitman School of Management. His educational background provides a solid foundation for his extensive expertise in SEC and FINRA rules and regulations, particularly in the areas of securities offerings and exemptions.
Background
Dave Klafter has a robust background in the financial services industry, with a focus on regulatory compliance and legal frameworks. His experience includes a deep understanding of capital requirements and trading practices, which are essential for navigating the complexities of financial regulations. This background supports his role at FINRA, where he addresses legal issues that impact the financial markets.
Achievements
Throughout his tenure at FINRA, Dave Klafter has developed a reputation for his knowledge of securities regulations and compliance. His contributions to the organization have helped shape policies and practices that govern the financial industry. Klafter's expertise in capital requirements and trading has positioned him as a key figure in discussions surrounding regulatory matters.