William Jannace

William Jannace

William Jannace   has over 30 years of experience in the securities industry as a regulator at the American Stock Exchange, the New York Stock Exchange and at FINRA. As a senior counsel at Ross PLLC, he  advises clients across a range of applications and compliance needs. Currently he is also focused on blockchain industry related …
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Personal Summary

William Jannace   has over 30 years of experience in the securities industry as a regulator at the American Stock Exchange, the New York Stock Exchange and at FINRA. As a senior counsel at Ross PLLC, he  advises clients across a range of applications and compliance needs. Currently he is also focused on blockchain industry related broker-dealer and ATS advice, FinHub referrals, and related matters. In addition to the TABB Group, he is also an adjunct professor/lecturer at Fordham School of Law, Wharton Business School, Georgetown Global Education Institute, the Global Financial Markets Institute, Baruch University and the Financial Markets World, where he teaches courses covering:  Capital Markets, IPOs, Exempt Offerings, ADRs, Securities/SRO/Mutual Fund/Investment Adviser/Broker-Dealer Regulation; Broker-Dealer Operations/Net Capital/Customer Protection/Prime Brokerage/Short Selling/Clearance and Settlement; Corporate Governance, Proxy, Activism, Corporate Social Responsibility and Diplomacy, Environmental, Social, Governance/Impact Investing, Climate Change/COP21, State Capitalism, Family Firms, Sovereign Wealth Funds, Geopolitics/Geo-economics and Efficient Market Theory.

In managing FINRA’s Sales Practice Policy department William Jannace and his staff responded to interpretive, policy and disposition requests, covering: capital markets, research, books and records, supervision, outsourcing, bank sweeps, outside business activities/private securities transactions and conflicts of interest. Mr. Jannace also worked in the Enforcement Department where he investigated violations of federal securities laws/SRO rules, conducted OTRs, drafted reports of investigation/statement of charges/settlements and conducted contested/settlement proceeding.

He was an account executive at Georgeson and D.F. King serving as liaison for corporations/institutional shareholders regarding corporate governance issues; assisted on proxy fights/tender offers for corporate raiders/listed companies; liaison with trading floor and arbitrageurs to provide market color to listed companies; monitored trading versus 13F filings to determine changes in shareholder ownership. He was also Series 7/63 licensed at Drexel Burnham/Paine Webber and was also a consultant for The World Bank.

He has also taught various capital markets and securities regulation courses at the US Army War College, New York Law School, Drexel University, New York University, Pace University, Securities Training Corporation, New York Institute of Finance, New York Society of Security Analysts, and the Securities Industry Institute/Wharton Business School on:

William Jannace is a CIArb Fellow, a FINRA Non-Public arbitrator, a member of the New York International Arbitration Center, is also a research affiliate with the Fletcher Network for Sovereign Wealth and Global Capital. Mr. Jannace received his JD from New York Law School in 1992, his LL.M. in Corporate, Banking, and Finance Law from Fordham Law School in 1996, is a member of the State Bars of New York and Connecticut; received a Certificate in Global Affairs at New York University and Environmental, Social and Governance investment training from the International Corporate Governance Network.

International Experience

Mr. Jannace also conducted overseas training programs for the: Russian Securities Commission/Stock Exchange; The Capital Markets Authorities in : Uganda, Burundi, Tanzania and Kenya; Saudi Arabian Capital Markets Authority; Securities and Exchange Board of India; Ukrainian Securities Commission/Stock Market; Romanian Securities Commission; Jordanian Securities Commission; Capital Markets Authority of Turkey; Albanian Financial Supervisory Authority; New York Institute of Finance- Beijing/China, the Taiwan Stock Exchange and for IOSCO in Spain.

Publications, Speaking Engagements and/or Professional and Civic Associations

He has also volunteered for the Interfaith Center on Corporate Responsibility, the Asset Owners Disclosure Project, UNICEF and served as a judge for the SIFMA Foundation InvestWrite Competition. Mr. Jannace is a member of the Bretton Woods Committee and the NGO Committee To Stop Trafficking in Persons. He is also active in raising funds and awareness for humanitarian assistance and an active supporter of education through the establishment of the Anthony E. Jannace scholarship at New York Law School and the Susan M. Jannace scholarship at Fordham University.

He has contributed to the following publications:

“Bretton Woods 4.0 Finding New Relevance in a New World Order,” By Dr. Paul Tiffany and William Jannace, Bretton Woods@75 Blog and Compendium, February 2019.

“Cautionary Notes for Supply Chain Managers and Others Involved in Global Sourcing & Partnerships (Human Trafficking & Modern Slavery Conditions Raise Reputational Risks),” Governance & Accountability Institute, January 2018). “Sustainability Disclosures in the EU,” Insights, The Corporate and Securities Law Advisor, Volume 31, Number 8, August 2017.

“Sustainability Disclosures in the EU: Implementation of the 2014 EU Non-Financial Reporting Directive,” ABA, Spring 2017.

“Accounting for Trade: President Trump and the Geopolitical Balance Sheet,” NYU Global Affairs Perspectives on Global Issues, Spring 2017.

“NASD/NYSE Rule Harmonization: What Do the Changes Mean in Practice, “The Journal of Securities Compliance, Volume One, October 2007.

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