Partner
Washington DC, D.C.
Michael Greene has more than 35 years of experience in securities, broker-dealer, and investment adviser regulation. He has served in a variety of roles with FINRA, the SEC, Nasdaq, and in private practice as both an attorney and consultant. With FINRA, he has served as Counsel to FINRA’s Internal Audit Department, an Attorney/Special Investigator with FINRA’s Enforcement Department, an Analyst with FINRA’s Market Regulation and Corporate Financing Departments, and as an Examiner in FINRA’s New York District Office. He was also an Attorney with the SEC’s Division of Market Regulation and Nasdaq’s Listing Qualifications Department. In private practice, he has advised clients on financial services regulation, particularly broker-dealer regulation.
He primarily offers expertise in FINRA and SEC rules including those related to suitability, Reg BI, supervision, sales practice, markups, order handling, trade reporting, net capital, customer protection, and advertising. He also offers expertise in Nasdaq listing qualifications rules.
When not working, Michael enjoys spending time with family and friends, golfing, and cheering for Villanova University sports teams, particularly the men’s basketball team.
“Well done is better than well said.”
The Great Gatsby by F. Scott Fitzgerald
Rocky
Bethany Beach, DE
Barbecue
If I weren’t a lawyer, I’d probably be involved in the golf industry.
Michael Greene has more than 35 years of experience in securities, broker-dealer, and investment adviser regulation. He has served in a variety of roles with FINRA, the SEC, Nasdaq, and in private practice as both an attorney and consultant. With FINRA, he has served as Counsel to FINRA’s Internal Audit Department, an Attorney/Special Investigator with FINRA’s Enforcement Department, an Analyst with FINRA’s Market Regulation and Corporate Financing Departments, and as an Examiner in FINRA’s New York District Office. He was also an Attorney with the SEC’s Division of Market Regulation and Nasdaq’s Listing Qualifications Department. In private practice, he has advised clients on financial services regulation, particularly broker-dealer regulation.
He primarily offers expertise in FINRA and SEC rules including those related to suitability, Reg BI, supervision, sales practice, markups, order handling, trade reporting, net capital, customer protection, and advertising. He also offers expertise in Nasdaq listing qualifications rules.
When not working, Michael enjoys spending time with family and friends, golfing, and cheering for Villanova University sports teams, particularly the men’s basketball team.
Michael Greene began his career as an Examiner in FINRA’s New York District Office. He subsequently served in other roles with FINRA, namely, Counsel to FINRA’s Internal Audit Department, an Attorney/Special Investigator with FINRA’s Enforcement Department, and as an Analyst with FINRA’s Market Regulation and Corporate Financing Departments. In addition to his FINRA experience, Michael was an Attorney with the SEC’s Division of Market Regulation and Nasdaq’s Listing Qualifications Department.
Most recently, Michael was a consultant advising clients on a variety of issues, primarily related to FINRA and SEC rules.
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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