Advise traders, sales traders, sales, supervisors, technology and others on regulatory requirements, compliance risk management and firm policies, which include SEC regulations (Reg NMS, Reg SHO, Consolidated Audit Trail), FINRA Rules - supervision, communications with the public, trade reporting, best execution, account opening and maintenance, and Exchange Rules (Equity and Options) - customer order protection & priority, market making, quoting, auctions, anti-manipulation and prohibited conduct, among other rules. The Institutional Equity Division (IED) Compliance Coverage team in Institutional Securities Group (ISG) Compliance advises and assists IED in providing coordinated, comprehensive and forward looking independent coverage of non-financial risks across ISG.