Rodney Hampton
About Rodney Hampton
Rodney Hampton serves as a Principal Examiner at FINRA, where he has worked since 2021. He possesses extensive knowledge of financial regulations and holds an MBA from Southern Methodist University.
Work at FINRA
Rodney Hampton has been employed at FINRA since 2013, where he currently holds the position of Principal Examiner. His tenure at FINRA spans over a decade, during which he has also served as a Senior Examiner and Associate Principal Examiner. His responsibilities include overseeing compliance with financial regulations and ensuring adherence to industry standards. Hampton's role involves extensive knowledge of key financial regulations, which he applies to his work in the Capital Markets sector, particularly focusing on Broker/Dealers.
Education and Expertise
Rodney Hampton earned a Master of Business Administration (MBA) from Southern Methodist University, where he specialized in Strategy and Business Economics. He also holds a Bachelor of Science degree in Agricultural Economics from Texas A&M University. His educational background has equipped him with a strong foundation in financial regulatory compliance, particularly in the context of Capital Markets and Broker/Dealers.
Background
Prior to his current role at FINRA, Rodney Hampton worked in various positions that contributed to his expertise in finance and operations. He served as an Operations Coordinator at KBR in Iraq from 2008 to 2010. Additionally, he worked as a Financial Advisor at Merrill Lynch for one year and completed an Associate Internship at Lone Star Investment Advisors, LLC as part of the Cox MBA Private Equity/Venture Capital Practicum in 2013.
Achievements
Rodney Hampton possesses in-depth knowledge of significant financial regulations, including the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, Bank Secrecy Act, Dodd-Frank Act, and Sarbanes-Oxley Act. His expertise in these areas supports his role at FINRA, where he contributes to the enforcement of compliance standards within the financial industry.