Stephen Luparello

Vice Chairman

 

Stephen Luparello is FINRA's Vice Chairman. In this capacity, Mr. Luparello oversees FINRA's regulatory operations, including Enforcement, Market Regulation, Member Regulation and Business Solutions. Prior to this position, Mr. Luparello served as FINRA's Interim Chief Executive Officer.

 

Mr. Luparello began his tenure at FINRA (then NASD) in 1996. He became the head of NASD's Market Regulation Department in 1999, with responsibility for oversight of trading on The NASDAQ Stock Market, the American Stock Exchange, the Over-the-Counter equities market, and the corporate and municipal fixed income markets. Mr. Luparello also has overseen the organization's creation of cutting-edge market regulatory technology, and has led the organization's regulatory work for markets and exchanges in the United States, including the American Stock Exchange and the International Securities Exchange. Before joining NASD Market Regulation, he was Vice President of the NASD Office of Disciplinary Policy.

 

From 1994 to 1996, Luparello was Chief of Staff to the Chair of the Commodity Futures Trading Commission. Prior to joining the CFTC, he served four years as Legal Counsel to former FINRA CEO Mary Schapiro at the SEC, and as legal counsel in the SEC's Division of Market Regulation.

 

Luparello is a graduate of the Washington and Lee University School of Law and received his undergraduate degree in History from LeMoyne College.