Lecturer Bios
Pramit Das
Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary.
He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.
Richard T. Choi, Esq.
Richard Choi has extensive experience advising investment companies, investment advisers, broker-dealers, and life insurance companies on federal and state securities and insurance compliance and regulatory matters.
Mr. Choi's experience includes advising investment company boards, independent directors and trustees, and special committees of directors and trustees. He counsels clients on the development and distribution of sophisticated financial products, such as variable annuities, variable life insurance, and face-amount certificates. His experience also includes representation of investment advisers and investment companies in regulatory compliance inspections and examinations, opinions on the availability of 1940 Act exemptions in connection with various types of transactions, and in-house training and education seminars on a variety of regulatory and compliance matters.
He has published numerous articles and regularly speaks on federal securities issues relating to variable insurance products and mutual funds. He has appeared on Bloomberg TV and has been quoted in Bloomberg, the Chicago Tribune, the Los Angeles Times, National Underwriter, U.S. Banker, the Wall Street Journal Online, and other financial and trade publications.
Mr. Choi is the securities and investment companies industry group co-leader.
Steven Choi
Steven Choi is Associate Director in FINRA’s Advertising Regulation Department.
Mr. Choi’s primary responsibility is managing staff members dedicated to the routine
review of member firm communications. Prior to joining FINRA/NASD in 2006, he
worked in the Private Client Management Group at Legg Mason, and as a Financial
Advisor in the Global Private Client Group at Merrill Lynch.
Mr. Choi holds a
Bachelor’s degree in Art History from Williams College
Ted Newton
Ted Newton is Communications with the Public Compliance Lead in MassMutual’s
Compliance & Ethics department. In his nearly 40-year career in the financial
services industry, Mr. Newton has been an agent, a wholesaler, a regulator and a
home office compliance officer.
At MassMutual, his responsibilities include
reviewing advertising for the company’s direct-to-consumer and other customer
experience efforts; refining advertising review procedures to increase efficiency and
consistency; and serving as industry and regulatory liaison on advertising
compliance-related matters.
Previously, he managed training and communications
for MassMutual field and home office personnel about compliance and supervision requirements, and
inspections of agencies to review their supervision and compliance policies. Prior to joining MassMutual
in January 1998, Mr. Newton was a supervisor in the NASD’s Advertising Regulation Department, where
he supervised a team of analysts who reviewed sales materials submitted by NASD member firms.
Mr.
Newton graduated from Duke University in 1984 with a double major in Political Science and Psychology
and got his start in the industry that year with Travelers Insurance Company and its affiliated
broker/dealer
