Yvette Quinteros Panetta

VP in Member Supervision, Head of ORL, FINRA

Yvette Quinteros Panetta is a Vice President in Member Supervision and heads the Office of Regulatory Liaison (ORL). In her role, she is primarily responsible for managing Member Supervision’s relationship with the Securities & Exchange Commission (SEC) both in an oversight capacity and to further collaboration on non-oversight regulatory efforts.

In addition, ORL actively engages in furthering Member Supervision’s relationship with other securities regulators including the States, closely partnering with other FINRA departments. Prior to her current role with ORL, she was the District Director of FINRA’s Florida District Office overseeing the Risk Monitoring, Firm Exam and Cause Exam Programs. In her capacity as District Director, she helped establish and launch FINRA’s Securities Helpline for Seniors. Prior to joining FINRA in 2014, she worked as a manager in the SEC’s Office of Compliance Inspections and Examinations, Broker-Dealer Program out of the New York Regional Office. Yvette earned her undergraduate and graduate degrees from Baruch College and also holds the title of Certified Public Accountant. Yvette is currently serving as the co-lead representing Member Supervision in FINRA’s Diversity Leadership Council.