Kevin Campion

Practice Areas

KEVIN CAMPION advises a wide array of financial services firms including investment and commercial banks, broker-dealers, and hedge funds on a broad variety of regulatory, enforcement, compliance, and transaction matters. He focuses his practice in particular on broker-dealer and market regulation matters, with particular emphasis upon regulations governing short sales (Regulation SHO), short interest reporting, Regulation M, research analyst conflicts, FINRA advertising rules, clearance and settlement, and broker-dealer registration and compliance issues. Kevin also regularly assists advisers and hedge funds with trading questions and long and short position disclosure requirements, including the requirements of Sections 13(d), 13(f), and 16. In addition, he assists clients, mostly clearing firms and prime brokers, in the defense of U.S. Securities and Exchange Commission (SEC), FINRA, NYSE, and state enforcement actions and investigations, as well as securities law class actions. Kevin has represented the Securities Industry Financial Markets Association (SIFMA) with respect to comment letters submitted to the SEC, and in obtaining a variety of no-action letters from the SEC Staff relating to Regulation SHO and Rule 10a-1, including working with the SIFMA Prime Brokerage Committee on the new Prime Broker Letter.