Executive Leadership at NASD
At the NASD, Mr. Pinto served nearly ten years as Executive Vice President for Regulation. He reported directly to the President of NASD. He oversaw more than half of the organization’s approximately 1,800 employees.
In this role, he helped establish policies, practices, and procedures for NASD examinations, surveillance, and enforcement activities.
His responsibilities included operating and managing the 14 NASD District Offices.
These offices conduct field examinations of NASD’s 5,500 members. They also perform financial and operational surveillance.
The offices investigate customer complaints and initiate disciplinary actions when appropriate.
Mr. Pinto also oversaw regulation of the NASDAQ Stock Market, the OTC Bulletin Board, and other OTC markets.
The Market Surveillance Department handled these responsibilities.
In addition, he supervised the Enforcement Department for major fraud and manipulation cases.
He also oversaw Corporate Financing, which reviews underwriting materials.
Mr. Pinto supervised Advertising Regulation, which oversees member compliance with advertising and sales literature rules.
He also oversaw the Compliance Department, which supported district operations and examination policy development.
Awards and Industry Recognition
Mr. Pinto has received numerous awards and honors for his contributions to the securities industry.
For example, in 1997 he received the Securities Industry Association’s Compliance and Legal Division award for “Meritorious and Distinguished Services to the Securities Industry.” That same year, he also received the Federal Bureau of Investigation’s award for “Exceptional Service in the Public Interest.”
In 1996, he received the Outstanding Human Performance Intervention Award from the International Society for Performance Improvement. He also received the Windows World Open award, sponsored by Microsoft and Computerworld, for using technology in innovative ways to enhance business operations.
