Hale Halasy

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Hale Halasy, President of DFP Regulatory Services LLC, is a compliance and financial training professional with more than thirty years of experience in the securities industry. He leads broker/dealers through the FINRA membership process and provides continued assistance to maintain and update internal compliance programs as well as conducting branch and home office reviews. Mr. Halasy has acted as the trusted advisor to over 40 Chief Compliance Officers at both broker-dealers and Investment Advisors over the last fifteen years. He carries the Series 7, 14, 24 and 99 licenses and acts as the CCO for Torreya Capital, Cascadia Capital and other registered broker-dealers.

A Certified Anti-Money Laundering Specialist, Mr. Halasy also manages the AML testing program of S.D. Daniels & Company LLC. As a respected member of the New York Stock Exchange Series 6, 7, 22, and 82 Test Writing Committees from 1999 – Present, and, more recently, a Founder and Director of CCH Wall Street Financial Training, Mr. Halasy amassed thirteen years of experience training business professionals in compliance related topics.

2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED)