Sign In
Get Clay Free →

Suggestions

    Tom Selman

    Former FINRA Executive - SEC - Reg BI - Form CRS - 1940 Acts - Securities Law - Consulting - Expert Testimony - Legislative - Guidance for Broker-Dealers and Investment Advisers - Securities Regulations Expert

    Tom Selman, CFA, is a prominent figure in the financial industry known for his extensive experience and leadership. He is the founder of Scopus Financial Group, which provides customized research and professional services to asset management companies, broker-dealers, investment advisers, and other clients.1 Before establishing Scopus Financial Group, Selman served as the Executive Vice President for Regulatory Policy and Legal Compliance Officer at the Financial Industry Regulatory Authority (FINRA). During his tenure at FINRA, he oversaw departments such as Corporate Financing, Advertising Regulation, the Office of Financial Innovation, and the Corporate Office of the General Counsel.14

    Selman joined FINRA in 1996 and retired in 2020 after 24 years of service.4 He holds the Chartered Financial Analyst (CFA) designation and has expertise in FINRA and SEC rules, Regulation Best Interest (Reg BI), Form CRS, and the 1940 Acts.2 His career path in financial regulation began serendipitously when he shifted from labor law to financial services regulation during a summer associate position at a law firm in the 1980s.3 Throughout his career, Selman has been recognized as a thought leader on regulatory topics within the financial industry.3

    Highlights

    Tom Selman - NSCP National Conference
    Jul 2 · investorcom.com
    Reg BI: A Dialogue with Tom Selman, Scopus Financial Group
    Reg BI: A Dialogue with Tom Selman, Scopus Financial Group
    Mar 15 · youtube.com
    Wealth Compliance Leaders featuring Tom Selman ... - YouTube
    Wealth Compliance Leaders featuring Tom Selman ... - YouTube
    When the Stock Market Is Too Much Fun - The Wall Street Journal
    Jan 30 · finra.org
    FINRA Executive Vice President for Regulatory Policy and Legal ...
    FINRA Executive Vice President for Regulatory Policy and Legal ...

    Related Questions

    What are Tom Selman's key achievements at FINRA?
    How did Tom Selman transition from FINRA to founding Scopus Financial Group?
    What specific services does Scopus Financial Group offer to broker-dealers and investment advisers?
    How has Tom Selman's experience influenced his approach at Scopus Financial Group?
    What are Tom Selman's thoughts on the future of financial regulations?
    Tom Selman
    Tom Selman, photo 1
    Tom Selman, photo 2
    Add to my network

    Location

    Silver Spring, Maryland, United States