On October 8, 2020, STA announced Tom Gira as the 2020 Dictum Meum Pactum Award recipient, posthumously. The award was accepted by FINRA President & CEO Robert Cook. Mr. Gira’s longstanding career in securities market regulation exemplified the ideals the DMP seeks to recognize. His service to the industry and the investors we serve will not be forgotten.
Tom Gira oversaw FINRA’s Market Regulation Department, which provides regulatory services to U.S. exchanges, including, among others, NASDAQ’s family of U.S. markets, New York Stock Exchange’s family of U.S. markets, Cboe’s family of U.S. markets, the BOX Options Market, Individual Investors Exchange, and Miami Securities Exchange’s family of markets. Market Regulation also regulates Trade Reporting Facilities, FINRA’s Alternative Display Facility, the over-the-counter market, and corporate and municipal bonds.
Mr. Gira also oversaw FINRA’s Transparency Services Department, which is responsible for the operation of FINRA’s trade reporting facilities. These facilities include the Trade Reporting and Compliance Engine (TRACE), the FINRA facility for reporting and disseminating corporate bond, agency debenture and securitized product transactions; the Alternative Display Facility, FINRA’s listed equity quote and trade reporting vehicle; the trade reporting facilities, FINRA’s joint ventures with the exchanges for printing listed equity trades; and the over-the-counter equity transparency facilities, including the OTC Bulletin Board.
Before joining FINRA in 1992, Mr. Gira was an Associate General Counsel of The NASDAQ Stock Market, Inc. Prior to that, he was Branch Chief for Options and Derivative Products Regulation within the Division of Market Regulation at the SEC.
Mr. Gira was a graduate of Wake Forest University, where he received a bachelor’s degree in economics. He received his law degree from the University of Maryland.
The Dictum Meum Pactum Award
Recognizes those individuals who have demonstrated an unwavering commitment to the betterment of the financial services industry, and have exhibited acts of integrity at the highest level consistent with the ideal STA has supported since its inception, dictum meum pactum, or My Word is My Bond.