Gregory R. Rich, Principal

Founder of RegTec in Chicago, IL

Greg Rich is an executive and regulatory expert whose exchange, legal and compliance background spans over a quarter century in listed options trading, SRO regulation, compliance, and securities law. He began his career as an independent Market Maker at the Midwest Options Exchange and later became Vice President of Trading and Operations for a self-clearing proprietary trading firm, and a member of the Chicago Board Options Exchange (CBOE). As Director of Market Regulation and Market Monitoring at the CBOE, he developed and directed a trading floor regulatory unit that was responsible for trading halts, rule interpretations, technical problem-solving, and on-site dispute resolution.

His executive leadership led to his supervision of a team responsible for investigating potential violations of all exchange rules and to assist the CBOE’s Legal Department in instituting disciplinary actions against members and member firms. In this position, he supervised the regulatory requirements of numerous CBOE electronic trading initiatives. Greg’s specialized experience in the securities/derivatives industry includes: Extensive experience in SRO regulation, clearing and back office, NASD/SEC registrations, and Self Regulatory Organization (SRO) disciplinary hearings and an experienced securities law attorney. Greg is the founder of Regulation Technologies, a consulting firm specializing in regulatory compliance for broker-dealers and investment advisers. Greg holds four NASD registrations: Series 4 (Options Principal), Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 27 (Financial and Operations Principal).