Naim Culhaci

Naim Culhaci advises clients on matters involving broker-dealer, investment adviser, and securities market regulation, particularly within the fintech industry.

Naim leverages a comprehensive knowledge of the financial regulatory landscape to guide investment banks, hedge funds, private equity firms, alternative trading systems, digital asset intermediaries, transfer agents, service providers to the securities industry, and emerging companies on a wide range of broker-dealer regulatory matters, including:

- Financial Industry Regulatory Authority (FINRA) membership applications

- FINRA and US Securities and Exchange Commission (SEC) compliance enforcement

- Mergers and acquisition transactions

- Financing transactions

- Cross-border broker-dealer activities and extra-jurisdictional implications

- FINRA and SEC rule changes and developments

He forges trusted relationships with clients to understand their business needs and crafts solutions that help to mitigate risk while achieving their objectives.

Naim also guides institutional money managers and other investors with respect to the Securities Exchange Act of 1934 reporting requirements, including filing of Forms 13H and 13F. He regularly provides financial institutions, corporate, and other clients with regulatory advice relating to equities market regulation compliance.

He is member of SIFMA and serves as Vice Chair of the American Bar Association’s Business Law Section’s Trading & Markets Subcommittee. A recognized thought leader, Naim also frequently writes on new regulations.