Practice Areas
- Investment Management
- Securities Industry
- Broker-Dealers
- Compliance & Investment Management
- Registered Investment Companies
- Wrap Fee Sponsors
- Investment Advisers
- Broker-Dealer & Capital Markets Regulation
- Private Investment Funds
- Exchange Traded Funds
- Privacy
- Washington Government Relations & Public Policy
Honors + Affiliations
Listed, Chambers USA: America's Leading Lawyers for Business (2005–2010)
Listed, Investment Fund Formation and Management: Alternative/Hedge Funds in The US Legal 500 (2009)
Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009)
Listed, "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008)
Listed, Washington, D.C. Super Lawyers (2008)
Member, American Bar Association, Business Law Section
Editorial Board Member, Practical Compliance & Risk Management
Advisory Board Member, Wall Street Lawyer & Journal of Performance Measurement
Former Managing Editor, The George Washington Law Review
Former Associate Editor, Consumer Protection Reporting Service
Bar Admissions
- District of Columbia
- Pennsylvania
- Washington, D.C.
-
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001
167 Publications Found
| Date | Title | Publication |
| 01/07/10 |
Social Networking in the Securities Context, presented as an ALI-ABA Webinar |
Speech |
| 10/19/09 |
Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York |
Speech |
| 10/07/09 |
Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia |
Speech |
| 09/23/09 |
Preparing for an SEC Exam, presented at GIPS Standards Annual Conference 2009, Boston |
Speech |
| 09/22/09 |
Performance Advertising 101: Regulatory Do's and Don'ts, presented at GIPS Standards Annual Conference 2009, Boston |
Speech |
| 09/21/09 |
Investment Advisers: The Changing Regulatory Landscape, presented at an ALI-ABA Conference |
Speech |
| 09/17/09 |
Investment Advice Issues, presented at the SIFMA Annual Savings and Retirement Conference 2009, Washington, D.C. |
Speech |
| 08/07/09 |
Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices |
Private Investment Funds LawFlash |
| 07/17/09 |
Legislation Proposed by U.S. Treasury Would Require Private Fund Advisers to Register with the SEC |
Investment Management FYI |
| 07/15/09 |
Cross-Border Webcast for the Financial Services Sector |
Webcast |
| 06/24/09 |
Examination Protocols, presented at the SEC's International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C. |
Speech |
| June 2009 |
The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6 |
Article |
| 05/21/09 |
An Update on Regulatory Issues, presented at the 7th Annual PMAR Conference, Philadelphia |
Speech |
| 05/15/09 |
SEC Proposes Strengthening of Advisers Act Custody Rule |
Investment Management FYI |
| 05/14/09 |
Washington Update, presented at the Trader Forum 2009 Annual Conference, Orlando, FL |
Speech |
| 04/27/09 |
SEC Inspection Priorities for Investment Advisers and Mutual Funds in the Wake of the Market Crisis, presented at the 2009 NRS Annual Spring Compliance Conference, Orlando, FL |
Speech |
| 03/05/09 |
FINRA Proposes Significant Changes to Forms U4 and U5 |
Investment Management FYI |
| 02/24/09 |
SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries |
Investment Management FYI |
| February 2009 |
Model, Hypothetical, and Backtested Performance—Best Practices, Investment Performance Measurement Newsletter (click here to read the article) |
Article |
| 01/15/09 |
Wrap Fee Programs and Separately Managed Accounts, presented at ALI-ABA's Investment Adviser Regulation Conference, New York |
|
| January 2009 |
Regulatory and Operational Considerations for U.S. Advisers Investing Abroad, IAA Newsletter: Compliance Corner |
Article |
| 10/21/08 |
Amendments to Part 2 of Form ADV, presented at the NSCP National Membership Meeting, Philadelphia |
Speech |
| 10/16/08 |
SEC Adopts Interim Close-Out Requirements for Short Sales |
Investment Management LawFlash |
| November 2008 |
SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule, Derivatives Financial Products Report |
Article |
| 09/25/08 |
SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008 |
Securities Industry FYI |
