About Us

About RegTec in Chicago, IL

About RegTec ChicagoRegTec employs only highly qualified industry professionals. Our staff includes lawyers, former SEC/FINRA/SRO examiners, technicians and high-level managers at the various exchanges. We have international experience with foreign regulators providing developing marketplaces with their regulatory structure. We match our staff to projects and clients to ensure the fit of experience and expertise.

Our Core Values

Our ethics shape the way we do business and live our lives, and we prize them highly. Strong ethical values are of more than just superficial importance to our profession; they impact and guide the conduct of our Firm with our clients and with one another, and are required by various rules of the CFTC and the SEC.

Integrity

We believe that integrity, including confidentiality, honesty, and trust are the cornerstones of our team.

Our Team

Gregory R Rich Chicago

Gregory R Rich

is an accomplished securities lawyer and regulatory consultant, started in the business in 1975 and spent many years on trading floors in a variety of roles. He transitioned to CBOE’s Market Regulation and served the Exchange for 18 years, as Director and founder of the Trading Floor Liaison Group. He founded RegTec in 2002 in response to the increasing demand for consultants and attorneys who know the business inside out and from the ground up. Greg brings his extensive knowledge of trading, back office and enforcement to the Firm. He holds Series 4, 14,27,7 and 24 registrations and is a registered attorney in the state of Illinois. Greg has also served as Chief Compliance Officer, General Securities Principal, General Counsel and FinOp for several firms, and was founder and compliance principal for several commodity pools. Read more

david mainzer chicago

David Mainzer

has over 30 years of experience in the Securities Industry. He began his career as a Compliance Examiner and then Sr. Examiner for the Chicago Stock Exchange. He was Regulatory Manager for First Options (now Goldman Sachs Group) primarily responsible for the Focus Report. In addition, David has worked as a trader and market maker for many firms including Knight Capital and Tradelink Securities. Recently David worked as a Surveillance Analyst for the CHX and two small brokerage firms. He has a BA in Economics from University of Wisconsin. He currently holds a Series 7 license.

Service

Our team has a tireless dedication to the service of our clients. We are accountable to our clients for providing quality customer service, and we meet and exceed their expectations.