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Mark D. Fitterman

Email: mfitterman@morganlewis.com

Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5019
Fax: 202.739.3001

practice accolades

Investment Management

Ranked, Band 1: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2011)

Ranked, Band 1: Investment Funds: Registered Funds in Chambers USA (2011)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2010)

education

Georgetown University Law Center, 1974, J.D.

Wright State University, 1971, M.B.A.

Oberlin College, 1964, A.B.

Date	Title	Publication
08/02/1108/02/11	SEC Adopts Large Trader Reporting System View LawFlash	Investment Management LawFlash
04/29/1004/29/10	SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers View LawFlash	Investment Management FYI
01/27/1001/27/10	SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18) View LawFlash	Investment Management FYI
03/18/0903/18/09	Back to Basics: FINRA Issues 2009 Examination Priorities View LawFlash	Securities Industry FYI
03/05/0903/05/09	FINRA Proposes Significant Changes to Forms U4 and U5 View LawFlash	Investment Management FYI
11/11/0811/11/08	SEC Adopts Interim Reporting Requirement for Short Sales View LawFlash	Investment Management LawFlash
10/17/0810/17/08	SEC Adopts Interim Reporting Requirement for Short Sales View LawFlash	Investment Management LawFlash
10/16/0810/16/08	SEC Adopts Interim Close-Out Requirements for Short Sales View LawFlash	Investment Management LawFlash
09/25/0809/25/08	SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008 View LawFlash	Securities Industry FYI
09/22/0809/22/08	UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms View LawFlash	Securities Industry FYI
09/21/0809/21/08	SEC Emergency Orders: Implications for Buyside and Sellside Firms View LawFlash	Securities Industry FYI
07/17/0807/17/08	SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions View LawFlash	Securities Industry FYI
06/30/0806/30/08	SEC Proposes Major Revisions to Rule 15a-6 View LawFlash	Securities Industry FYI
06/18/0806/18/08	The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C. View Presentation	Speech
05/16/0805/16/08	FINRA Issues Proposals on Rulebook Consolidation View LawFlash	Securities Industry FYI
03/18/0803/18/08	SEC Proposes “Naked” Short Selling Anti-Fraud Rule View LawFlash	Securities Industry FYI
01/11/0801/11/08	FINRA Amends NYSE Rule 342.13: Eliminates Cut-Off Date for Recognition of Series 24 View LawFlash	Securities Industry FYI

practice areas

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Mark D. Fitterman

practice accolades

education

Publications

News