Rosemarie Fanelli

Chief Regulatory Officer Prometheum Inc.

Rosemarie Fanelli is Chief Regulatory Officer of Prometheum Inc., parent of a FINRA member firm and SEC-registered digital asset securities alternative trading system (ATS), “Prometheum ATS”. She oversees the organization’s regulatory affairs and compliance with the Federal Security Laws and SRO requirements, policies, and procedures.

Prior to joining Prometheum, Rose was employed with FINRA for 14 years. As the Senior Advisor to FINRA’s department of Member Supervision, she served as an expert and tactical advisor on complex and novel issues arising from FINRA’s Risk Monitoring and Examination programs and played an influential role in resolving complex regulatory and interpretative matters with the SEC, FINRA member firms, and other agencies. Rose was a member of FINRA’s Digital Policy Group, whose primary purpose is to address policy issues concerning digital assets, and served as a Digital Assets Specialist, assisting FINRA staff with questions, policy, guidance related to digital assets. She was also a member of FINRA’s Clearing Firm Advisory Committee, a forum for firms to advise and make recommendations on issues arising from member firm activities relating to the clearance, carrying, and settlement of securities. Previously, Rose served as a Deputy Unit Leader for FINRA’s Member Regulation Risk Oversight and Operational Regulation unit. In this capacity, she oversaw the overall operations of surveillance programs for some of the largest and most systemically important member firms for compliance with financial, operational, and sales practice rules.

Prior to joining FINRA, Rose was employed with the New York Stock Exchange, where she held various roles. She holds a J.D. from New York Law School, an MBA from Pace University, a MS in Risk Management from NYU Stern, and a BS in Finance and Computer Information Systems from Manhattan College.