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Band 3
Provided by Julian Rainero
Co-chair of the Broker-Dealer Regulatory & Enforcement Group. Advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules. Practice involves all aspects of broker-dealer regulation, with a focus on cash equities trading practices, alternative trading systems, net capital, customer asset segregation, prime brokerage, correspondent clearing, and margin and securities lending. Represents many of the leading electronic market makers and alternative trading systems and serves on the best-execution committees of several major broker-dealers.
In addition to regularly advising broker-dealers on regulatory compliance and best practices, represents clients in responses to examination findings and enforcement proceedings. Also provides legal counsel to financial institutions in connection with acquisitions of or investments in broker-dealers, credit facilities collateralized by securities and transactions subject to Regulation M.
American University, Washington College of Law, J.D., 1998
Dickinson College, B.A., 1994
Provided by Chambers
Provided by Chambers
