William Jannace

Firm Chair William Jannace has thirty years' experience in the securities industry at the American and New York Stock Exchanges and FINRA and two global banks.  He managed FINRA's Sales Practice Policy department responding to interpretive, policy and disposition requests. William is an adjunct professor and teaches courses on capital markets, regulation and corporate social responsibility at Fordham School of Law, Wharton Business School, Georgetown Global Education Institute, and Financial Markets World.

Advisory experience includes : debt securities and private placements under Reg D, S and Rule 144A, research/soft dollars, communications policies, AML and KYC, registration and qualification examinations and waivers, broker-dealer registration, investment adviser and mutual fund issues, custody related issues, prime brokerage, MSRB rules, outsourcing (Rent-a-Finop/CCO), bank sweeps/ACATs, outside business activities and accounts, forms U4 and U5.

William is currently advising clients on CSG matters, Broker-Dealer applications, FinHub referrals, and regulatory matters.

Education/Admissions:
NYU, Certificate, International/Global Studies
Fordham University, LLM Banking, Corporate, Finance and Securities Law
New York Law School, JD
Admitted in New York and Connecticut

[email protected] / +1.917.282.1034

Experience. Quality. Effectiveness.


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