Thomas Gira

Thomas Gira was the Executive Vice President of FINRA’s Market Regulation and Transparency Services Departments. Market Regulation conducts surveillance, investigations, and trading examinations for over-the-counter markets overseen by FINRA — Trade Reporting Facilities, ADF, unlisted equities, TRACE and municipal bonds. Market Regulation also provides regulatory services to markets operated by Nasdaq, NYSE, Cboe, MIAX, IEX and Box. Transparency Services is responsible for all FINRA transparency initiatives in the fixed income and equity markets and operates FINRA’s market systems — TRACE, ADF, OTC Equity Reporting Facility, OTC Bulletin Board, and Trade Reporting Facilities. Before joining Market Regulation, Mr. Gira was an Associate General Counsel at Nasdaq. Prior to joining FINRA in 1992, Mr. Gira was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC. Mr. Gira received his undergraduate degree from Wake Forest University and his J.D. from the University of Maryland.

With great sadness, FINRA announced that Mr. Gira passed away on Saturday, June 20, 2020.

“Tom was a beloved and devoted husband and father, as well as a tremendous leader, colleague and friend, and we are enormously heartbroken by his passing. We extend our most sincere condolences to Tom’s family, who are in our thoughts and prayers during this difficult time,” said FINRA President and CEO Robert Cook. “Tom leaves behind an extensive and exemplary legacy of accomplishment over the course of his tremendous career in the securities industry, including nearly three decades at FINRA. He was well known for his expertise in securities markets regulation, built over the course of his lifetime commitment to protecting investors and the integrity of markets,” Cook added. “Tom was also highly regarded for his integrity and thoughtful character, his gentle and soft-spoken demeanor, and his keen wit and genuine regard for everyone with whom he worked.”