Gary O. Fischer
About Gary O. Fischer
Gary O. Fischer is an Associate Principal Examiner at FINRA, specializing in market regulation and fixed income trading. He conducts reviews of financial firms to ensure compliance with trade reporting requirements and fair pricing standards.
Current Role at FINRA
Gary O. Fischer serves as an Associate Principal Examiner in the Market Regulation division, focusing on Fixed Income Trading. He has been in this role since 2020, operating from the Washington DC Metro Area. In this position, he conducts substantive reviews of financial firms, particularly those with elevated trading and trade execution issues. His responsibilities include ensuring compliance with trade reporting requirements and fair pricing standards within the securities industry.
Previous Experience at FINRA
Prior to his current role, Gary O. Fischer held several positions at FINRA. He worked as a Senior Examiner in Broker-Dealer Regulation from 2015 to 2019 in Chicago, Illinois. He also served as a Test Development Editor and Coordinator in Testing and Continuing Education from 2012 to 2015 and 2011 to 2012, respectively, in the Washington D.C. Metro Area. Additionally, he was a Public Offerings Analyst in Corporate Financing for a brief period in 2012.
Legal Background in Australia
Before joining FINRA, Gary O. Fischer gained significant legal experience in Australia. He worked as In-House Counsel for the NSW Police Force from 2001 to 2007 and as a First Responder and Investigator from 1984 to 2001. He also spent one month on loan to the State Crown Solicitor's Office in Sydney in 2002. This experience provided him with a strong foundation in legal and regulatory matters.
Education and Qualifications
Gary O. Fischer studied at the University of Technology, Sydney, where he earned a Bachelor of Laws (LL.B). His educational background supports his extensive career in law and finance, equipping him with the knowledge necessary to navigate complex regulatory environments.
Expertise in Trading Compliance
Gary O. Fischer has developed expertise in identifying compliance issues related to trading, particularly in the context of fixed income trading and execution. He specializes in recognizing failures to disclose mark-ups and mark-downs on retail customer confirmations, ensuring that broker-dealers provide bona fide quotes that reflect fair value in the securities market.