Gregory Dean Joins FINRA as Senior Vice President, Office of Government Affairs

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will start at FINRA on January 30.

Mr. Dean comes to FINRA from the Royal Bank of Canada where he is currently Senior Director, Regulatory & Government Affairs. Before joining RBC in 2015, he served for more than 14 years in a variety of roles on Capitol Hill, including serving as Chief Counsel for three separate committees in the U.S. Senate including on the Banking, Housing and Urban Affairs, Health, Education, Labor and Pensions, and Budget Committees. He also was Staff Director for the Securities Subcommittee of the Senate Banking Committee. In addition, he was the Finance Counsel for the U.S. House Committee on Small Business and the Banking Counsel for the Senate Committee on Small Business and Entrepreneurship. Prior to his Congressional career, he was with FINRA's predecessor, NASD Regulation, where he served as an attorney in the Office of the General Counsel. He began his career at the U.S. Small Business Administration, Office of Advocacy. He is a graduate of The Widener University School of Law and received his bachelor of arts from Villanova University.

Robert W. Cook, FINRA President and CEO, said, “We are delighted Greg is joining FINRA, and he will play a key role in our senior management team. Greg’s expertise and wide range of experience working in both houses of Congress, the federal government and the private sector make him uniquely qualified to lead the government affairs function at FINRA. And his experience working to promote small business will be exceptionally valuable in helping FINRA advance new initiatives in this area.”

Dean said, “I am excited about this opportunity to help share with Congress and others the vital work FINRA does every day to protect investors and to ensure that they can invest with confidence in America’s financial markets. I look forward to working with Robert and the entire FINRA team.”

FINRA, the Financial Industry Regulatory Authority, regulates securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. FINRA touches virtually every aspect of the securities business & from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, and informing and educating the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers the largest dispute resolution forum for investors and firms. For more information, please visit www.finra.org.