Steve Joachim

Executive Vice President, FINRA

Steve Joachim created the Transparency Services function at FINRA in 2002 and has been its Executive Vice President since 2003. As such he oversees TRACE providing real time pricing information for Fixed Income Products and the OTC Bulletin Board, the OTC Reporting Facility and the Trade reporting Facilities providing real time pricing information for Equities to market participants. Prior to joining FINRA he spent four years as COO and Chief Strategy Officer of Plural (now owned by Dell Professional Services), a custom interactive software and technology strategy business that served the investment banking business. Steve spent nearly 15 years at Merrill Lynch serving in many capacities in the Capital Markets area including Chief Technology Officer for Equity Markets, Head of Floor Brokerage Services and Business Manager (COO) for Equity Trading. Steve has a MS in public management (Urban and Public Affairs) and a BS in mathematics with computer option from Carnegie Mellon University and an MA in Political Science from Duquesne University. He has served as Chairman of the International Forum for Investor Education and as Member of the CFTC Technology Advisory Committee, the Board of Governors of the Philadelphia Stock Exchange, Board of Directors of Merrill Lynch Specialists, Inc., and the Board of Directors of Wilco, Inc.. He also served as a member of the Nasdaq Industry Advisory Committee and the American Stock Exchange Upstairs Member Advisory Committee.