Steven Price
About Steven Price
Steven Price serves as the Senior Vice President of the National Cause Program at FINRA, where he has worked since 2020 to enhance investor protection. He has extensive experience in compliance and regulatory roles, having previously held senior positions at ALPS and worked as a market maker at CBOE.
Work at FINRA
Steven Price has served as Senior Vice President of the National Cause Program at FINRA since 2020. In this role, he focuses on advancing investor protection and oversees assessments and investigations of financial industry participants across the U.S. His work is informed by regulatory intelligence and triggering events. Price participates in various organizational committees and initiatives aimed at positioning FINRA as a leader in regulatory vision.
Professional Experience
Prior to his current role at FINRA, Steven Price held multiple positions at ALPS, A DST Company. He worked as Vice President and Deputy Chief Compliance Officer from 2008 to 2015, and later served as Senior Vice President, Chief Compliance Officer, and Director of Fund Distribution Services from 2015 to 2020. His earlier experience includes working as a Market Maker/Trader at CBOE from 1996 to 2002 and as part of the Colorado Division of Securities from 2005 to 2008.
Education and Expertise
Steven Price holds a Master of Science in Finance from the University of Colorado and a Bachelor of Arts in Economics from the University of Iowa. He also earned a Doctor of Jurisprudence from The John Marshall Law School. His educational background provides a strong foundation for his expertise in compliance and regulatory matters within the financial industry.
Background
Steven Price has a diverse professional background that spans over two decades in the financial services sector. His experience includes roles in compliance, risk management, and regulatory enforcement. He has worked in various capacities, including at the Colorado Securities Board from 2017 to 2020, further enhancing his knowledge of state and federal securities regulations.