About Us

Market Regulation Services was created to fill a void in the regulatory compliance services marketplace. We have found that the majority of compliance consultancies that exist do not adequately understand how their clients operate. They also do not understand the nuances of governance and controls that are so critical in running a compliant operation. Lastly, they do not possess the technical knowledge and process-based development methodologies that modern financial service providers, brokers, and advisors must embrace to stay competitive.

We pride ourselves on our ability to truly understand and be an integral part of our client firms. We understand that a business relationship is based on trust. We build that trust with each and every one of our clients by producing the best work products and following through on all our promises. We don’t accept anything less than total satisfaction in our efforts and neither should you.

Meet Our Management

Christopher Tolla, CRCP®

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Mr. Tolla is our Managing Principal and Founder. He has over twenty years of experience on Wall Street and twenty five years of experience in technology and process management. His role as Chief Compliance Officer for a prominent FINRA Member Broker/Dealer as well as his wealth of direct consulting experience for numerous financial firms has given him unique insight into compliance concerns across equity, equity derivative, corporate fixed-income, municipal and treasury securities, and structured product asset classes.

In his career, he has had numerous technology roles, including that of Chief Technology/Information Officer at three FINRA Member Broker/Dealers. His roles have encompassed all aspects of support, development and management of technology solutions and staff. His development work has provided solutions that continue to produce revenue in several markets.

Mr. Tolla holds an M.B.A. from the University of Connecticut, a B.A. in Economics, an A.A.S in Electronics Technology, and an Advanced Business Certificate from the Connecticut Information Technology Institute. Mr. Tolla is a member of Phi Beta Kappa and Beta Gamma Sigma societies, as well as a member of the Society for Information Management. Mr. Tolla is FINRA/NFA Series 3, 4, 7, 24, 27, 53, 57, 66, 87, and 99 licensed and a FINRA Certified Regulatory and Compliance Professional designee.