William Jannace

William Jannace

William Jannace

Executive Summary

William Jannace has worked nearly 28 years in the securities industry at the American and New York Stock Exchanges and FINRA. He managed FINRA’s Sales Practice Policy department responding to interpretive, policy and disposition requests, covering: capital markets/IPOs/private placements/Regulation D and S offerings/Rule 144A/144 resales, research/soft dollars, communications with the public, AML, registration and qualification examinations/waivers, books and records/customer confirmations/account statements, broker-dealer registration, broker-dealer-investment adviser relationships/fee-based accounts and mutual fund distributions, clearing/prime brokerage agreements, supervision, MSRB rules, outsourcing/Rent-a-Finop/CCO, bank sweeps/ACATs, suitability/KYC/churning/Rule 10b-5, outside business activities/private securities transactions/outside accounts, Forms: BD, U4, and U5, and conflicts of interest.

He has also taught courses at Fordham School of Law, New York Law School, Wharton Business School, Georgetown Global Education Institute, Drexel University, New York University, Pace University, Baruch College, Securities Training Corporation, New York Institute of Finance, Financial Markets World, New York Society of Security Analysts, and the Securities Industry Institute/Wharton Business School on:

  • Capital Markets/IPOs/Exempt Offerings/ADRs
  • Securities/SRO/Mutual Fund/Investment Adviser/Broker-Dealer Regulation
  • Broker-Dealer Operations/Net Capital/Customer Protection/Prime Brokerage/Short Selling/Clearance and Settlement.
  • Corporate Governance/Proxy/Activism/Corporate Social Responsibility and Corporate Diplomacy/Environmental, Social, Governance/Impact Investing/Climate Change/COP21, State Capitalism/Family Firms/ Sovereign Wealth Funds/Geopolitics/Geoeconomics.

Mr. Jannace is also a research affiliate with the Fletcher Network for Sovereign Wealth and Global Capital. Mr. Jannace received his JD from New York Law School in 1992, his LL.M. in Corporate, Banking, and Finance Law from Fordham Law School in 1996, is a member of the State Bars of New York and Connecticut; received a Certificate in Global Affairs at New York University and Environmental, Social and Governance, Sustainable and Impact Investment training from the International Corporate Governance Network and the Governance & Accountability Institute. William Jannace is also a FINRA Non-Public Arbitrator, a Fellow, Chartered Institute of Arbitrators, a member of the New York International Arbitration Center and a Certified Member of the Association of Certified Anti-Money Laundering Specialists. Mr. Jannace has also participated in a crisis negotiation exercise with the U.S. Army War College. He has consulted for The World Bank and volunteered for the Interfaith Center on Corporate Responsibility, the Asset Owners Disclosure Project, and served as a judge for the SIFMA Foundation InvestWrite Competition, and various moot court competitions at Fordham Law School and New York Law School. Mr. Jannace is a member of the Bretton Woods Committee and the NGO Committee To Stop Trafficking in Persons. He is also active in raising funds and awareness for humanitarian assistance and an active supporter of education through the establishment of the Anthony E. Jannace scholarship at New York Law School and the Susan M. Jannace scholarship at Fordham University.

Primary Practice Area

While working as a regulator, Mr. Jannace interfaced with the SEC, NASD, state regulators/trade associations (SIFMA) in shepherding proposals for approval; and helped draft reports on: research analyst conflicts; secondary trading of private companies; transparency enhancements to the securities lending marketplace; and on mutual regulatory recognition. He participated in the Compliance Advisory Group, OSRC, and IOSCO initiatives. He also led a FINRA initiative to rewrite its membership rules. Rule proposals/ guidance included:

  • SRO Rule Harmonization
  • Portfolio Margin
  • Outsourcing/Rent-a-Finop/CCO
  • Bank Sweeps/Account Transfers/ACATs
  • Statutory Disqualifications
  • Broker-Dealer Registration/Finders
  • CEO Certification/Internal Controls/Supervision
  • Branch Office Structure and Supervision
  • Review/Supervision of Electronic Communications
  • AML/Patriot Act/OFAC/SDNs
  • IPO Allocations/Research Analyst Conflicts/Qualification Examination
  • Business Continuity/Contingency Planning

Mr. Jannace also worked in the Enforcement Department where he investigated violations of securities laws/SRO rules, conducted OTRs, drafted reports of investigation/statement of charges/settlements and conducted contested/settlement proceedings against firms and their employees. Predicate violations investigated, included: unauthorized/unsuitable/excessive trading/churning/options fraud/margin requirements, books and records violations, market manipulation/short squeezes/front-running/trading ahead/option position limits/market-making obligations, and failure to supervise.

He also worked at TD Securities and Smith Barney Shearson, providing legal advice on/reviewed or responsible for:

  • Regulation D/S offerings/144A/144 resales/10b-18 share buybacks
  • Offering Memorandums/Underwriting and Prime Brokerage Agreements
  • Research reports and trading approvals for new issues/secondary offerings
  • Issuing penny stock approvals and approving plans of solicitation
  • Ensured trade reporting/Control Room/employee/firm trading compliance
  • Responding to SEC/SRO examinations/member of the “Best Execution” committee

He was an account executive at Georgeson and D.F. King serving as liaison for corporations/institutional shareholders regarding corporate governance issues; assisted on proxy fights/tender offers for corporate raiders/listed companies; liaison with trading floor and arbitrageurs to provide market color to listed companies; monitored trading versus 13F filings to determine changes in shareholder ownership. He was also Series 7/63 licensed at Drexel Burnham/Paine Webber and Series7/55 licensed at TD Securities.

Mr. Jannace also conducted overseas training programs for the:

  • Kenyan Capital Markets Authority
  • IOSCO/PIFS-Harvard Law School
  • Russian Securities Commission/Stock Exchange
  • East African Securities Regulatory Authority/Uganda
  • Saudi Arabian Capital Markets Authority
  • Securities and Exchange Board of India
  • Ukrainian Securities/Stock Market State Commission
  • Romanian Securities Commission
  • Jordanian Securities Commission
  • Capital Markets Authority of Turkey
  • Albanian Financial Supervisory Authority
  • Central Bank of Burundi
  • East African Secretariat/Tanzania
  • New York Institute of Finance/Beijing,
  • Taiwan Stock Exchange


NEW YORK UNIVERSITY– SPS Jan. 2018 Graduate Certificate-Global Energy Studies
GOVERNANCE & ACCOUNTABILITY INSTITUTE June 2017 Certification Course: ESG, Sustainable and Impact Investment Training NEW YORK UNIVERSITY–SPS May 2017
Geopolitics of Energy Development-Tel Aviv, Israel CHARTERED INSTITUTE OF ARBITRATORS Oct. 2016
International Commercial Arbitration Training Program NEW YORK UNIVERSITY – SPS June 2016
Economic and Security Program- Moscow, Russia NEW YORK UNIVERSITY/ARMY WAR COLLEGE Apr. 2016
Special Crisis Negotiation Exercise NEW YORK UNIVERSITY – SPS Jan. 2016
Sustainable Development Program-La Paz, Bolivia NEW YORK UNIVERSITY – SPS May 2015
Global Affairs Program – Certificate NEW YORK UNIVERSITY – SPS June 2014
Certificate Program/Member of the Board of Trustees/Lecturer FORDHAM UNIVERSITY SCHOOL OF LAW 1996

Speaking Engagements:

Topics: Securities Regulation, Market Structure, Clearance and Settlement and Corporate Governance

  • Chinese Securities Regulatory Commission
  • China Construction Bank
  • Iraq Stock Exchange
  • Securities and Exchange Bureau of India
  • Tokyo Stock Exchange
  • Hawkamah Institute for Corporate Governance
  • Kenyan Capital Markets Authority
  • El Salvador Securities and Exchange Commission
  • Ghana Stock Exchange
  • Mexican Banking and Securities Commission
  • Sarajevo Stock Exchange/Securities Commission
  • Saudi Arabian Capital Markets Authority
  • Central Bank of Kosovo
  • Malaysian Securities Commission
  • SEC Annual Institute for Securities Market
  • US State Department Foreign Delegation
  • Hong Kong Securities Commission
  • Philippine Dealing System Holdings
  • Treasury Department of Argentina
  • Ontario Securities Commission
  • Securities Operations Forum
  • ALI-ABA Compliance and Enforcement Conference
  • SIFMA lAD Conference
  • FINRA Spring Conference
  • NYSE Regulatory Conferences
  • SIFMA Equity Capital Markets Conference
  • SIFMA Fixed-Income Seminar
  • BD Week Annual Compliance Conference
  • SIFMA Annual Legal and Compliance Conference
  • SIFMA Research Management Conferences
  • NASD Institute for Professional Development
  • ABA Conference.

Banking and Financial Services, Commodities, Corporate and Commercial, Securities

28 years in the securities industry at the American and New York Stock Exchanges and FINRA.


New York

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William Jannace