Andrew Margolin

Andrew Margolin is the global head for Cash Equities Legal, and is U.S. regulatory counsel for the Global Markets division of Bank of America. He advises the U.S. Equities businesses and regulatory programs of the Bank, and has focused his coverage in Sales and Trading, Institutional Research Sales, and Market Structure / Electronic trading.

He is a former chairperson of FINRA’s National Adjudicatory Council (NAC) and FINRA’s Market Regulation Committee, and has served on FINRA’s Advisory Council and the NASDAQ Market Regulation Committee.

Formerly an Assistant General Counsel for the NASDAQ Stock Market, he began his legal career at the Securities and Exchange Commission, working in the Chief Counsel’s office for the Division of Trading and Markets. He received his J.D. from Brooklyn Law School and B.A. from C.U.N.Y. at Queens College. He is a member of the New York and the District of Columbia bar.