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: Mutual Funds in The US Legal 500 (2009–2010)
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
186 Publications Found
| Date | Title | Publication |
| 09/01/10 |
SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure |
Investment Management FYI |
| 07/09/10 |
SEC Adopts Pay-to-Play Rule Under Investment Advisers Act |
Investment Management and Private Investment Funds LawFlash |
| 06/03/10 |
Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues, presented at an Investment Adviser Association Webcast |
Speech |
| 05/25/10 |
What To Do When The SEC Examiner Calls, presented at an Investment News Webcast |
Speech |
| 05/24/10 |
Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services |
Financial Regulatory Reform LawFlash |
| 05/20/10 |
Regulatory Change for Our Managed Solutions Sector, presented at Money Management Institute 2010 Annual Convention, New York |
Speech |
| 05/12/10 |
Commissions Management: The Consortium, presented at the TraderForum 2010 Annual Conference, Chicago |
Speech |
| 05/07/10 |
Mutual Funds, Broker Dealers, and Investment Advisers: Risks and Approaches to a Changing Market Place, presented at the 42nd Annual Rocky Mountain Securities Conference, Denver, CO |
Speech |
| 04/29/10 |
SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers |
Investment Management FYI |
| 04/22/10 |
Preparing for Regulatory Change in Private Client Services, presented at the SIFMA Private Client Conference, New York |
Speech |
| 03/30/10 |
Understanding the New Requirements Affecting RIAs, presented at a Rule 206-4(2) Custody Webinar |
Speech |
| 03/14/10 |
The Changing Landscape for Trading and Market Structure, presented at 2010 Mutual Funds and Investment Management Conference, Phoenix, AZ |
Speech |
| 03/10/10 |
Critical Elements of Commission Sharing Arrangements & Soft Dollars, presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA |
Speech |
| 03/10/10 |
Insider Trading: Creating a Safe Environment (SEC Top Risk), presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA |
Speech |
| 02/25/10 |
Current Soft Dollar Issues, presented at the IAA/ACA Investment Adviser Compliance Forum, Arlington, VA |
Speech |
| 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 |
