Nasdaq Chief Legal Officer

Nasdaq Chief Legal Officer

Nasdaq has appointed John Zecca as Executive Vice President and General Counsel, responsible for managing Nasdaq`s regulatory oversight, legal advice and compliance across the company`s global operations. Instead, it helps Nasdaq enable more companies to go public and ensures that there is more diversity both internally and within the legal teams that represent Nasdaq overseas. Jeffrey Davis joined NASD (now FINRA) in 1996 and moved to Nasdaq in 2000 when it was spun off and floated public. Jeff currently serves as Vice President and Deputy General Counsel reporting to Ed Knight, where he is responsible for providing legal support to Nasdaq regulated markets in the U.S. and globally. Jeff`s team works with equity, options, futures, and fixed income regulators, including the SEC, CFTC, Treasury Department, and Federal Reserve. Jeff`s team is particularly focused on foreign exchange regulation, market structure and its impact on our GTMS, GIS and listing businesses. At NASD, Jeff worked in the Office of the General Counsel, where he participated in disciplinary proceedings against NASD members. Jeff has drafted SRO rules, represented NASD before the SEC in appeals and appeals to federal courts, and assisted senior management on member and market regulatory initiatives. Jeff holds a B.S. from the State University of New York at Binghamton. After receiving a J.D. from the University of Chicago School of Law, Jeff worked for a federal judge in Dallas, Texas.

Zecca`s resume covers everything Nasdaq could expect from an executive vice president. The lawyer has served as legal counsel to SEC Commissioner Norman S. Johnson and the SEC`s Office of the General Counsel. He practiced securities law at the law firms of Hogan Lovells and Kaye Scholer. His most memorable job before Nasdaq was serving for the Honorable John H. Pratt of the United States District Court for the District of Columbia. Cyndi oversees the legal and regulatory compliance functions of NASDAQ Private Market and leads its involvement in private capital markets policy matters. Zecca`s legal and regulatory group is ahead of the curve here.

“It just makes sense to us because I think candidates feel more comfortable in an organization that takes diversity and inclusion seriously,” Zecca says. Its team is moving closer to gender parity, and the development of a broader talent ecosystem has led to a much wider selection of candidates within its teams. In legal terms, an “insider” is any shareholder who owns at least 10% of a company. This can include senior executives and large hedge funds. These insiders are required to notify the public of their transactions by means of a Form 4, which must be filed within two business days of the transaction. John Zecca, Nasdaq`s executive vice president and chief legal and regulatory officer, has witnessed many of the company`s most important moments: his tenure goes back twenty years, and he`s come a long way in that time. Not content with being a generalist, Zecca has continued to expand both its own expertise and areas of expertise for its various teams. Nor is he content to look back only at his organization`s achievements so far. Nasdaq`s legal and regulatory group also signed the American Bar Association`s Commitment to Change, a commitment to making the workforce more diverse.

In addition, Zecca expects Nasdaq`s external advisors to make their own diversity statistics transparent, both at the associate and partner levels. Over the past twenty years, John Zecca has consistently found new ways for his legal department to support the development © of the 2022 Nasdaq Benzinga does not provide investment advice. All rights reserved. Ryan Damon, general counsel of Criteo CRTO, reported a major insider selling on Nov. 22, according to a new SEC filing. Investors prefer to focus on transactions that take place in the open market, as set out in Table I of the Form 4 filing. A P in box 3 represents a purchase, while S represents a sale. Transaction code C indicates the conversion of an option, and transaction code A indicates that the insider may have been forced to sell shares in order to receive the remuneration promised when hired by the company. Ms. Rodriguez joins NPM from the U.S. Securities and Exchange Commission.

She will oversee regulatory compliance, interact with companies, assess their capital and security transaction needs, and lead NPM`s involvement in policy issues affecting the private capital market. During her tenure at the SEC, Ms. Rodriguez held a variety of leadership positions, including Deputy Chief of Staff, Advisor to SEC Commissioners, and Special Advisor to the Trade and Markets Division. She has advised and helped implement various policies and rules, including those under the Jumpstart Our Business Startups Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act. Ms. Rodriguez has also worked in private practice. Ms. Rodriguez holds a J.D. from the University of Texas School of Law and a Bachelor of Arts degree from the University of Texas at Austin.