Kathleen Bisaccia
About Kathleen Bisaccia
Kathleen Bisaccia is a Principal Regulatory Coordinator at FINRA, where she develops examination strategies and conducts financial analyses to ensure compliance among broker-dealer firms. She holds a Juris Doctor from Rutgers University School of Law and has extensive experience in regulatory roles, including a previous position at the SEC.
Work at FINRA
Kathleen Bisaccia has held the position of Principal Regulatory Coordinator at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, she engages in onsite examinations for complex firm evaluations and develops risk-based examination strategies for over 50 registered broker-dealer firms. Her responsibilities include conducting financial analysis of FOCUS, SSOI, and annual audits to ensure compliance with net capital requirements. Additionally, she collaborates with the Member Applications Group to analyze and support new broker-dealer applications.
Education and Expertise
Kathleen Bisaccia has an extensive educational background. She earned her Juris Doctor from Rutgers University School of Law, where she studied Taxation, Business, and Securities from 1988 to 1991. Prior to that, she obtained a Bachelor of Science in Business Administration from the University of Southern California, studying from 1984 to 1988. She also studied Foreign Exchange at the U.S. Department of State from 1981 to 1982. This diverse education supports her expertise in regulatory coordination and financial compliance.
Background
Before joining FINRA, Kathleen Bisaccia worked at the U.S. Securities and Exchange Commission (SEC) as an Assistant Director and Branch Chief in Enforcement from 2001 to 2006. She also served as Managing Director at FTI Consulting for 11 months in 2008 to 2009. Her experience in regulatory roles has contributed to her current position at FINRA, where she plays a key role in regulatory oversight and compliance.
Achievements
Kathleen Bisaccia serves as one of the few nationwide liaisons for the JOBS Act and the crowdfunding portal pilot. Her involvement in these initiatives highlights her role in facilitating regulatory frameworks that support emerging financial technologies and business models. Through her work, she contributes to the development of policies that impact the financial industry.