Gary Guttenberg
About Gary Guttenberg
Gary Guttenberg serves as Senior Counsel at the U.S. Securities and Exchange Commission, where he has worked since 2012. He previously held a position as a Regulatory Analyst at FINRA and has extensive experience in compliance with securities laws.
Current Role at U.S. Securities and Exchange Commission
Gary Guttenberg serves as Senior Counsel at the U.S. Securities and Exchange Commission (SEC) since 2012. He is based in the Washington D.C. Metro Area and works within the Broker Dealer/Exchange Group (BDX). His responsibilities include conducting inspections of national securities exchanges and broker-dealers to ensure compliance with federal securities laws and regulations. Guttenberg's role is critical in maintaining the integrity of the securities market.
Previous Experience at FINRA
Prior to his current position, Gary Guttenberg worked as a Regulatory Analyst at the Financial Industry Regulatory Authority (FINRA) from 2010 to 2012. During his two years in Rockville, MD, he focused on ensuring compliance with FINRA Rules and Self-Regulatory Organization (SRO) regulations. This experience provided him with a solid foundation in regulatory compliance within the financial sector.
Educational Background
Gary Guttenberg has an extensive educational background. He earned his Juris Doctor (J.D.) from Brooklyn Law School, where he studied law from 2005 to 2008. He also holds a Bachelor of Arts (B.A.) in Economics from Yeshiva University, where he studied from 2000 to 2004. Additionally, he studied Talmud at Yeshiva University and achieved Semicha (Rabbinic Ordination) from 2003 to 2006. His early education includes 13 years at Talmudical Academy and 2 years at Kerem B'yavneh.
Internships and Early Career
In the early stages of his career, Gary Guttenberg gained practical experience through internships and summer associate positions. He worked as a Summer Intern at FXCM in 2005 for 11 months and later served as a Summer Associate in the Legal Division at Lazard Asset Management in 2007 for three months. These roles contributed to his understanding of legal and regulatory frameworks in the financial industry.