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37. Daniel M. Sibears

Senior Vice President & Deputy

Member Regulation, NASD

Daniel M. Sibears is the Senior Vice President & Deputy of NASD’s 840 person Member Regulation Department.  His career in securities regulation, compliance, and enforcement spans more than 20 years, and his legal and management background includes private practice, the Michigan Court of Appeals, the U.S. Securities & Exchange Commission, and NASD.

Member Regulation includes 15 District Offices geographically disbursed throughout the major financial centers in the United States.  Cycle and cause examinations, financial monitoring and surveillance, membership admissions, and broker-dealer education are all administered through the District Office programs.  From its home office, Member Regulation has regulatory responsibilities for testing and qualifications, staff education, financial operations, and statutory disqualifications.

Apart from Member Regulation, Mr. Sibears serves as a liaison with state, federal, and international agencies on policy, regulatory, and strategic matters.  Mr. Sibears helped create the formal continuing education program for the securities industry, having served over 7 years as staff regulatory representative to the Securities Industry/Regulatory Council on Continuing Education.  Mr. Sibears is one of the NASD executives responsible for creating the structure and substance of the NASD Institute for Professional Development.  He also serves as a Board of Trustee for the National Endowment for Financial Education.

At NASD, Mr. Sibears also served two years as the Vice President of District Oversight, three years as Director of Regulatory Policy, and eight years as the Director of the Anti-Fraud Department (now the Enforcement Department).

Mr. Sibears received his undergraduate degree from Oakland University and his Juris Doctor Cum Laude from Michigan State University, Detroit College of Law.  Mr. Sibears is licensed to practice law in the Commonwealth of Massachusetts and the State of Michigan, and is admitted to practice before various federal courts.  He is a member of the Section of Business Law of the ABA, has published several articles on federal securities law topics, authored many NASD articles on sales practices and compliance, and frequently represents NASD before industry, regulatory, and legal organizations.  

1735 K Street, NW.

Washington, DC  20006

Phone (202) 728-6911

FAX   (202) 728-8830

E-Mail: dan.sibears@nasd.com

A Regional Seminar on the Development on Non-Bank Financial Institutions in Latin America Region

Santiago- Chile

12/4/2002Page 43 of 49

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