nyuuzyou/wikis huggingface dataset:
Sean Feeney

__NOTOC__ 
Sean Feeney is a New York-based exchange executive who served as head of U.S. Options for Nasdaq from January 2023 to January 2025, when he stepped down. He was at Nasdaq for more than eight years.
== Background ==
Feeney joined Nasdaq in 2016. Before that, he had been involved in startup activities with different ventures.
He served as the head of brokerage operations for CV Brokerage. He was a portfolio manager with Forty4 Asset Management. He has also been head of trading and strategy for GBOX Trading, LLC.
He served as a vice president of options for Knight Capital and was a market maker for Trinity Derivatives Group, LLC. He served as an options specialist on the American Stock Exchange.
== Education ==
*State University of New York at Stony Brook, applied math & statistics, 1995 – 1998
== References ==	
Category:Knight Capital - Former Employees
Category:American Stock Exchange - Former Members
Sean Keating

__NOTOC__ 
Sean Keating is managing director of NYMEX Operations for the CME Group Inc. Keating is responsible for all New York-based electronic- and floor-trading operations, as well as facility operations. Previously, he was a senior vice president of clearing services at the New York Mercantile Exchange.
== Background ==
Keating joined NYMEX in 1987 in the compliance department as a trade practice analyst. In 1988, Keating joined Pioneer Futures, an NYMEX member firm, as a clerk and assistant operations manager. In 1990, he left Pioneer for one year to work as an underwriter for American International Group, Inc. 
Returning to Pioneer as a vice president in 1991, Keating was responsible for all of the risk management and capital allocation operations of the company, including trade settlement, data processing, maintaining relationships with banks, and preparing the firm's balance sheet and income statement. In 1998, Keating was named Pioneer's president. 
Additionally, in 1999, Keating was also named president of Pioneer Capital Corp., a New York Stock Exchange member organization. 
At the CME Group, Keating reports to Julie Holzrichter, CME Group managing director of global operations.
== Education ==
Keating holds a bachelors of science degree in business administration/marketing from Marist College.
== References ==
Category:CME Group
Category:CME Group
Sean Malloy

__NOTOC__ 
Sean Malloy is executive vice president, global head of sales at SageTrader, LLC. He was previously a senior vice president at ED&F Man Capital Markets. Before joining Man, he was senior vice president and co-director of global sales and marketing for Penson Worldwide, Inc., where he was also president of Penson Execution Services Inc. He joined Penson from NYFIX in July of 2007 and became a leader of Penson's U.S. sales and marketing efforts. At NYFIX he was senior vice president and co-head of sell side transaction sales.
== Background ==
Malloy has over 15 years of sales and marketing experience in the trading and technology industry with firms including Montgomery Securities, Track Data's Newsware Inc., and Southwest Securities.
Malloy is a member of the Security Traders Association of Chicago and the former Treasurer of the Illinois SIA (now known as SIFMA). 
== Education ==
Malloy holds a bachelor of science degree in government and politics from the University of Maryland.
== References ==
Category:Bios - Executives
Category:Penson
Sean McLaughlin

__NOTOC__ 
Sean McLaughlin is an editor and director of business development at StockTwits.com. He is also an independent trader. 
== Background ==
McLaughlin was previously Business Development Manager at Echo Global Logistics, where his role was to develop partnerships with new and existing customers; to create relationships within the industry to leverage Echo's buying power; to seek opportunities to create value for the organization and its customers through business development; and to be an ambassador for the growth of Echo's business model.
From 1998 to 2006, he traded equities, futures, and options at Tuco Trading, Underground Trade, and SGM Futures, LLC. He created SGM Futures, LLC from the ground up and developed the business into a profitable venture.
== Education ==
McLaughlin holds a bachelors degree in marketing and finance from the State University of New York at Buffalo.
== References ==	
Category:Journalists
Category:Stocktwits
Category:Business Development Professionals
Sean O'Connor

__NOTOC__ 
Sean O'Connor is the CEO, president and director of StoneX (formerly INTL FCStone Inc.) He joined the company as CEO in 2002. He was appointed as president in October 2015.
== Background ==
Before joining INTL FCstone, O'Connor was the CEO of Standard New York Securities Inc. as well as the executive director of Standard Bank London. 
== Education ==
*University of Stollenbosch
*University of Cape Town
== References ==	
Category:FCM Executives
Sean Owens

__NOTOC__ 
Sean Owens is New York-based consultant who is the principal of Jedi Consultants. Previously, he was the director of fixed income and derivatives at Woodbine Associates, a Stamford, Connecticut-based consulting and research firm serving the capital markets. 
His focus is the analysis of strategic, business, regulatory, market structure, and technology issues in the global fixed income and derivatives markets.
Owens has published research in financial journals and has been widely quoted in the media and various trade publications. He has served on industry panels and roundtables and is a frequent speaker at industry events. His recent work includes:
*The OTC Derivatives Readiness Guide: Business and Regulatory Requirements for Asset Managers and Other End Users Under Title VII," a comprehensive examination of the business and regulatory requirements for asset managers, hedge funds, and other end users in the newly regulated OTC derivative markets. 
*The Fast Track to Central Clearing and Optimal Margin Management, a look at the impact of new swap clearing and margin rules on asset managers, hedge funds, traders and banking institutions. 
== Background ==
Owens joined Woodbine in July 2010, after working as a principal at Jedi Consultants, where he advised small businesses in the areas of business development, marketing, operational efficiency and financial management. Before that, he spent 10 years at General Re Securities, where he traded, structured and managed the risk for trading books within the major currencies.
== Education ==
Owens earned an MBA in Finance from Columbia Business School and a BS in Economics from the United States Military Academy.
== References ==	
Category:Consultants
Category:Woodbine Associates - Former Employees
Category:Census Bureau - Former Employees
Category:General Re Securities - Former Employees
Sean Tully

__NOTOC__ 
Sean Tully is senior managing director, financial and OTC products, at CME Group. He was appointed to that position in September 2014. He was previously managing director of interest rate futures products for CME Group, starting in August 2011.
In 2012, Tully led the development and implementation of CME’s Deliverable Interest Rate Swap Futures, a new type of derivatives product that aimed to offer interest rate swap exposure, combined with the liquidity, transparency and margin efficiency of a futures contract, which the exchange launched on December 3, 2012. 
== Background ==
He previously led the credit and fixed income trading group at WestLB, a Germany-based commercial banking firm. He had worked at WestLB's London office.
He also traded interest rate derivatives at Citibank and Greenwich Capital, running a global team in the interest rate swap business, and as a proprietary trader.
== Education ==
Tully holds a bachelor's degree, magna cum laude, from Potsdam College and a master's degree in mathematics from Clarkson University.
==John Lothian News Interviews==
CME Group’s Sean Tully Introduces Deliverable Interest Rate Swap Futures
Tully spoke with former John Lothian News Editor-at-Large Doug Ashburn about the new interest rate swap futures contracts, which launched on December 3, 2012.
== References ==	
Category:CME Group
Category:CME Group Senior Management
Sean Windeatt

__NOTOC__ 
Sean Windeatt is the chief operating officer at BGC Partners. 
== Background ==
Windeatt has held senior management positions at Cantor Fitzgerald and it's subsidiaries since 1997. He served as the Executive Managing Director and Vice President of BGC Partners since 2007 where he was responsible for the company's global front office business operations. He also served as Business Manager and member of the Finance department at Cantor Fitzgerald from 1997-2003. 
He started his career in the financial markets at the United Assurance. 
== Education ==
Windeatt graduated with a degree in business administration from the Miami University in Ohio.
 
== References ==	
Category:BGC Partners
Category:Bios - Executives
Seat

In traditional parlance, a "seat" is a very broad term. One might have a "seat at the table," a "seat on a board," etc. In the financial exchange world, a "seat" denotes having a membership on an exchange. Memberships come in a number of forms with different privileges for the seat holder, depending on the particular exchange. Some exchanges offer a full membership, which entitles the member to trade everything at the exchange, or a special membership or memberships that entitle an individual to trade only certain products, or a combination of full and specific-use memberships.
==References==
<refernces />
Category:Exchange Terms
Category:Exchange Memberships
Sebastian Ceria

__NOTOC__ 
Sebastian Ceria is the chief executive officer of Qontigo. Before joining the fintech company, Ceria was the CEO of Axioma, an investment management company that he founded in 1998.
== Background ==
Ceria was previously an associate professor of Decision, Risk and Operations at Columbia Business School, a position he held from 1993-1998. He also serves on the board as co-chairman at Mismi, a New York-based company that provides algorithmic trading technologies for the U.S. equities market. He received the Career Award for Operations Research from the National Science Foundation and also serves as a member of the National Academy of Engineering.
== Education ==
Ceria received his Ph.D. from Carnegie Mellon University’s Tepper School of Business where he studied Operations Research. He also attended the University of Buenos Aires, Argentina where he earned a degree in Applied Math.
== References ==
Seck Wai Kwong

__NOTOC__ 
Hsieh Fu Hua is chairman of Fullerton Fund Management Company Ltd., ST Asset Management Ltd. and the Stewardship and Corporate Governance Centre. Previously, he served Temasek Holdings Pte, Singapore’s state-owned investment company, as board member and president.
He also previously served as chief executive officer of the Singapore Exchange. 
 
== Background ==
== Education ==
Hsieh graduated from the University of Singapore in Business Administration in 1974.
== References ==
Category:Bios - Executives
Category:Former Exchange CEOs
Section 31 Fees

Section 31 fees, also known as SEC fees, are fees imposed by the U.S. Securities and Exchange Commission (SEC) on certain securities transactions. These fees are authorized under Section 31 of the Securities Exchange Act of 1934 and are designed to fund the SEC's operations and regulatory activities.
Section 31 fees are typically assessed on transactions involving the sale of exchange-listed equities, options, and certain other securities. The fees are collected by the SEC from securities exchanges, including national securities exchanges like the New York Stock Exchange (NYSE) and the Nasdaq Stock Market, as well as from the Financial Industry Regulatory Authority (FINRA).
The amount of Section 31 fees is determined by the SEC and may vary depending on the type of transaction and the size of the trade. These fees are usually a small fraction of the total transaction value and are automatically deducted by the broker or exchange handling the transaction.
Section 31 fees play a crucial role in funding the SEC's regulatory activities, including enforcement actions, market oversight, and investor protection efforts. They help ensure the integrity and stability of the U.S. securities markets by providing the SEC with the necessary resources to carry out its regulatory mandate.
== References ==
Category:U.S. Securities and Exchange Commission
Category:Fees
Securities & Investment Institute

The Securities & Investment Institute is a registered charity based in the U.K. that aims to promote knowledge of securities and investments, develop high ethical standards for practitioners in the field and to promote such standards in the UK and overseas and act as an authoritative body for the purpose of consultation and research in matters of education or public interest concerning investment in securities.It has applied for royal chartered status.
Formed in 1992 by London Stock Exchange practitioners, the Securities & Investment Institute has more than 40,000 members in 89 countries. 
== History ==
== Products and Services ==
== Key People ==
*Chairman: Scott Dobbie FSI (Hon)
*Chief Executive Officer: Simon Culhane FSI
*Managing Director: Ruth Martin
*Director of Global Business Development: George Littlejohn MSI
== Members ==
The institute has five types of membership: Student, Associate, Member, Fellow and Affiliate. The Fellow category is considered the highest category of membership and is available to holders of the Securities & Investment Institute diploma who have also completed other requirements. 
== References ==
Category:Educators
Category:Educational Resources
Category:Educational Programs
Securities Act of 1933

The Securities Act of 1933 is often referred to as the truth in securities law. It requires that investors receive financial and other significant information concerning securities being offered for public sale. It also aims to prohibit deceit, misrepresentations, and other fraud in the sale of securities. 
A primary means of accomplishing these goals is the registration of securities. The full text of this act is available from the Securities and Exchange Commission on the regulatory agency's web site .
== References ==
Category:Legislation
Securities Association of China

__NOTOC__
The Securities Association of China (SAC) is a self-regulating organization for the securities industry established in accordance with the pertinent regulations of Securities Law of the People’s Republic of China and Administrative Regulations on Registration of Public Organizations. It is a non-profit public organization. 
The Securities Association of China is under the professional guidance, supervision and management of China Securities Regulatory Commission and the Ministry of Civil Affairs of the People’s Republic of China. The Securities Association of China was established on Aug. 28, 1991.
Members of the association include securities companies, securities investment fund management companies, securities investment consulting agencies and special members.
As of May 1, 2007, SAC has 299 members, including 109 securities companies, 51 fund management companies, 92 securities investment consulting institutions, three asset managements companies and 44 special members (two stock exchanges, one securities depository and clearing company, eight fund custodian institutions and 33 local securities associations). 
== Membership ==
Members include securities companies, securities investment fund management companies, securities investment consulting agencies and special members. 
== Key People ==
== References ==
Category:Industry Associations
Category:Futures Market in China
Category:China
Securities Commission of the Bahamas

The Securities Commission of the Bahamas is the agency responsible for regulating the Bahamian capital market, including market mediaries, secondary markets and mutual funds.
== History ==
There are two primary pieces of legislation that govern regulation of the sector. The Security Industry Act 1999 (SIA) governs the regulation of capital and security market participants and public companies. The Mutual Fund Act 1995 governs the regulation of mutual funds and fund administrators.
== Products and Services ==
Activities include: 
*Reviewing prospectuses for financial and legal compliance
*Processing of applications for registration
*Supervising and regulating the Exchange and market participants
*Responding to complaints/inquiries from investors
*Conducting investigations and other such matters
*Preparing matters for referral to the Commission
*Responding to and co-operating with other securities regulators 
== References ==
Category:International Regulatory Organizations
Securities Commission of the Republic of Lithuania

The Securities Commission of the Republic of Lithuania is the securities market supervisory authority founded by the Seimas of the Republic of Lithuania, whose composition, functions and principal tasks are defined in the Law on Securities of the Republic of Lithuania, the Law on Markets in Financial Instruments, the Law on Collective Investment Undertakings and the Law on Supplementary Voluntary Pension Accumulation of the Republic of Lithuania.
== Organization and Structure ==
== History ==
== References ==
*Category:European Securities Regulators
Securities Exchange Act of 1934

The Securities Exchange Act of 1934 is the Act through which Congress created the Securities and Exchange Commission (SEC). President Franklin D. Roosevelt appointed Joseph P. Kennedy, former President John F. Kennedy's father, to serve as the first chairman of the SEC. 
The Act, put into play on June 6, 1934, gave the SEC broad authority over all aspects of the securities industry, including the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies, as well as the nation's securities self regulatory organizations (SROs).
The Act also identifies and prohibits certain types of conduct in the markets and provides the SEC with disciplinary powers over regulated entities and persons associated with them, in addition to empowering the SEC to require periodic reporting of information by companies with publicly traded securities.
Coming on the heels of the Stock Market Crash of 1929, the act was meant to restore investor confidence in securities trading. It was widely believed that the market crash, which heralded the worldwide economic downturn of the Great Depression, was due in part to deceit, duplicity, and ineptitude on the part of many bankers and stock brokers; structural weaknesses of the institutions they represented; and a lack of government oversight and regulation.)
 
== References ==
Category:Legislation
Category:Great Depression
Securities Industry Automation Corporation

The Securities Industry Automation Corporation was formed to provide technical services for the exchanges themselves, members and other financial institutions. In this role, SIAC provided the computers and other systems required to run the exchanges.
Originally formed as an entity co-owned by the New York Stock Exchange and the American Stock Exchange, the NYSE became the full owner of SIAC on November 1, 2006.
== History ==
== References ==
== External links ==
*http://www.siac.com/
Category:NYSE Euronext
Securities Industry Essentials Exam

Securities Industry Essentials® (SIE®) Exam is a qualification exam administered by the Financial Industry Regulatory Authority (FINRA) for prospective securities industry professionals. The exam tests basic knowledge of the securities industry, including products, risks, regulatory structure, and prohibited practices.
== History ==
FINRA introduced the SIE exam on October 1, 2018, as part of a restructuring of its representative-level qualification exam program. The restructuring aimed to reduce duplicative testing of general knowledge across multiple exams and make it easier for individuals to enter the securities industry.
== Exam Structure ==
The SIE exam consists of 75 multiple-choice questions, divided into four sections:
* Knowledge of Capital Markets (16% of exam)
* Understanding Products and Their Risks (44% of exam)
* Understanding Trading, Customer Accounts and Prohibited Activities (31% of exam)
* Overview of Regulatory Framework (9% of exam)
Candidates have one hour and forty-five minutes to complete the exam, and a passing score of 70% is required.
===Practice Test===
== Eligibility and Registration ==
Unlike previous FINRA exams, the SIE does not require sponsorship from a FINRA member firm. Anyone aged 18 or older can take the exam, including students and career changers. The exam results are valid for four years.
== Career Path ==
Passing the SIE exam alone does not qualify an individual to work in the securities industry. Candidates must also pass a qualification exam specific to their desired role, known as a "top-off" exam, and be sponsored by a FINRA member firm to become registered representatives.
== References ==
Category:Regulation
Category:Financial Industry Regulatory Authority
Category:Examinations and Education
Category:Securities Industry
Securities Industry Institute

The Securities Industry Institute, founded in 1952, is an educational development program designed for securities industry professionals. The objective of the Institute is to equip participants with practical information, ideas and answers directly applicable to their present and future responsibilities.
SII participants gather on the campus of The Wharton School of the University of Pennsylvania, in the three-consecutive year program that meets for one week each March to complete required course work.
== History ==
== Products and Services ==
The curriculum consists of three core competencies:
*Industry Knowledge
*Investment Knowledge
*Professional Skills
== Membership ==
== Key People ==
== References ==
Securities Industry News

Securities Industry News was a weekly newspaper in the global securities and financial markets. It provided news and analysis to executives in charge of operations, technology, processing services, and compliance in the global securities and financial markets.
Its reader base included broker-dealers, investment banks, regulators, consultants, technology vendors and customers in a global market.
It was converted to an all electronic version and its name was changed to Securities Technology Monitor.
== History ==
== Key People ==
== References ==
Category:Newsletters