Jason Wallace is a senior editor for Thomson Reuters Regulatory Intelligence. Jason began his career at TD Waterhouse Securities Inc., now TD Ameritrade Inc., where he held key positions in the Trading, Risk Management and Compliance departments for both retail and institutional sides of the firm. He has attained the Series 4, 7, 9, 10 and 63 securities licenses.
Jason joins Thomson Reuters after serving as an associate director for National Regulatory Services, in San Diego, California. At NRS, he worked closely with Investment Advisory firms and Broker-Dealers to manage regulatory obligations, tailor firm-specific compliance programs and perform on-site mock SEC/FINRA examinations.
