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Stephen Luparello is Senior Executive Vice President, Regulatory Operations. In this capacity, he oversees NASD's Enforcement, Market Regulation, Member Regulation and Business Solutions departments.
Previously Luparello headed NASD's Market Regulation Department, with responsibility for oversight of trading on The NASDAQ Stock Market, the Over-the Counter equities market, and the corporate and municipal fixed income markets. His responsibilities in this position include enforcement of trade reporting, order handling, and other quality of market rules, the NASD examination program for market makers and ECNs, and the surveillance and investigation of fraud, insider trading, short sales, and the OTC Bulletin Board.
Luparello also has overseen the creation of cutting-edge market regulatory technology. And, he is in charge of NASD's regulatory work for markets and exchanges in the United States, including the American Stock Exchange and the International Securities Exchange. Before coming to Market Regulation, he was Vice President for the NASD Office of Disciplinary Policy.
From 1994-1996, Luparello was Chief of Staff at the Commodity Futures Trading Commission. Prior to joining the CFTC, he served four years as Ms. Schapiro's Legal Counsel 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. | 