John F. Malitzis

Executive Vice President Market Regulation Department
Financial Industry Regulatory Authority

John F. Malitzis is an Executive Vice President in the Market Regulation Department of the Financial Industry Regulatory Authority (“FINRA”). Mr. Malitzis oversees surveillance of the New York Stock Exchange and American Stock Exchange equity markets. John is also responsible for both the equity trading and options markets trading examination programs.

Immediately prior to joining FINRA, Mr. Malitzis was Executive Vice President for the Division of Market Surveillance, for NYSE Regulation. In this capacity, Mr. Malitzis oversaw the surveillance of trading in NYSE and Amex-listed securities by member firms, and monitored for compliance by member firms with NYSE and Amex rules as well as the federal securities laws. Mr. Malitzis joined the NYSE Regulation in October 2004.

Prior to NYSE Regulation, Mr. Malitzis was a Senior Vice President and Associate General Counsel for the Institutional Equities Division of Citigroup Global Markets, Inc. For nearly nine years, Mr. Malitzis was employed by the NASD/The NASDAQ Stock Market, in the General Counsel’s office and later in Transaction/Market Services. Prior to the NASD, Mr. Malitzis was a trial attorney for the Commodities Futures Trading Commission and a Law Clerk at the U.S. Department of Labor. Mr. Malitzis also has taught at the Catholic University, Columbus School of Law.

Mr. Malitzis received his J.D. from Boston College Law School.


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