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Glen Shipway

Glen Shipway

Mr. Shipway is a Bates Consulting Expert. He uses his extensive regulatory, exchange and board experience to help broker-dealers, investment advisors and other financial services providers meet business goals and satisfy regulatory, compliance and corporate governance obligations. A former member of the Board of Directors for the National Stock Exchange in Chicago and Executive Vice President for NASDAQ in New York, Mr. Shipway is available to consult regarding regulatory oversight of markets and exchanges, market surveillance and trading systems. He is also available to consult or serve as an expert witness in litigation or regulatory proceedings regarding a wide range of compliance and operations issues including best execution, proprietary trading, stock loan and bond, commodities, and OTC trading.

Glen is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group LLC, Consulting Expert, 2013 - Present
National Stock Exchange, Public Member, Board of Directors; Chair, Audit Committee; Member, Regulatory Oversight Committee, Chicago, IL, 2005-2011
Primex Trading NA LLC, Chief Executive Officer, New York, NY, 1999-2002
NASDAQ Stock Market, Inc., Executive Vice President, New York, NY, 1989-1999
InterstateSecurities/Johnson Lane Corp. (later Wachovia Securities), Executive Vice President, Board of Directors, Charlotte, NC,1973-1989  
National Association of Securities Dealers (NASD), Assistant Director, Washington D.C., 1967-1973

EDUCATION

Bachelor of Arts (BA), Mathematics, Washington College, Chestertown, MD

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.