Instructor

William Jannace

Practical Experience:

William Jannace is the Managing Director of Rule and Interpretive Standards in the Member Firm Regulation Division of the New York Stock Exchange. He has worked on several major regulatory initiatives, including the Research Analysts’ Conflicts Rules and SRO Rule Harmonization. Before joining the NYSE, Mr. Jannace worked in the Legal-Compliance Departments of TD Securities and Smith Barney, and then as an Enforcement Attorney at the American Stock Exchange, where he investigated and litigated regulatory and compliance matters involving broker-dealers. Before he became a lawyer, Mr. Jannace was involved in proxy-fights and tender-offers as an account executive at Georgeson & Co. and D.F. King & Co., Inc., proxy-solicitation firms.

Mr. Jannace is currently an Adjunct Professor of Law at New York Law School, where he teaches courses on Broker-Dealer Regulation and the Securities Act of 1933. He previously taught securities regulation courses at several other universities and business/professional schools. Mr. Jannace also lectures internationally, conducting training programs for several foreign stock exchanges, including seminars on Corporate Governance and Securities Regulation for the Russian Securities Commission and Stock Exchange in Moscow, Capital Market Development and Oversight for the East African Securities Regulatory Authorities in Uganda and a series of lectures on Broker/Dealer Regulation for the Market Intermediaries Program hosted by the Capital Markets Authority of Saudi Arabia.

Mr. Jannace received his JD from New York Law School in 1992, and his LL.M. in Corporate, Banking, and Finance Law from Fordham Law School in 1996, where he wrote his Masters Thesis on Corporate Governance and Institutional Shareholder Activism. He is a member of the State Bars of New York and Connecticut.

Areas of Expertise:

Securities Law

Accounting, Audit, Tax, & Compliance

Finance for Lawyers

Education:

J.D., New York Law School

L.L.M., Corporate Banking and Finance Law, Fordham Law School

Membership(s):

Securities Industry Association Legal and Compliance Division

New York State Bar Association

American Bar Association

Bar of New York

Bar of Connecticut

Courses: