During his 40-year career at FINRA, Mr. Linden held several executive leadership positions and played a key role in developing and overseeing major regulatory systems and programs.

At FINRA, Mr. Linden led the implementation of major regulatory programs and systems, including the internet-based Central Registration Depository system, used for the registration of securities firms and financial professionals, the Investment Adviser Registration Depository, BrokerCheck, and Investment Adviser Public Disclosure. These programs are among the most comprehensive in U.S. securities regulation and are relied upon by industry, regulators and the public. Mr. Linden was responsible for the development and application of FINRA rules and policy across these areas, as well for their ongoing operation and strategic direction.

He was extensively involved in the establishment and growth of the securities industry continuing education program and served on the Securities Industry Continuing Education Council. He also played a leading role in the development of FINRA’s qualification programs for financial professionals, including the implementation of the Securities Industry Essentials examination.

As a senior FINRA executive, Mr. Linden collaborated closely with FINRA’s Enforcement, Regulatory Operations, Office of General Counsel, and Technology teams. All enforcement actions taken by FINRA are reported through the programs he led. He also worked closely with state and federal regulators on regulatory matters within his areas of responsibility.
Mr. Linden served as Co-Chair of the CRD Steering Committee, which is responsible for setting CRD policy and operating rules. He led the development of revised uniform registration forms, including Forms U4, U5, and BR, with particular responsibility for disclosure questions, amendments, and related interpretations applicable to securities professionals.

In addition to leading these programs, Mr. Linden held multiple leadership positions with FINRA overseeing legal, policy, technology, insurance, data, privacy and records initiatives at FINRA. This included establishing and chairing FINRA’s Records Management Board, establishing and leading its first privacy office, and developing information management and captive insurance programs.

Prior to his distinguished career at FINRA, Mr. Linden was an attorney at prominent Washington, D.C. law firms where he advised clients on complex business and financial transactions, and securities, intellectual property, and tax law.