Mark D. Fitterman

Partner

Mark D. Fitterman is a partner in Morgan Lewis's Investment Management and Securities Industry Practice. Mr. Fitterman's practice focuses on the regulation of broker-dealers under federal and state law.

Mr. Fitterman counsels clients on a wide variety of regulatory and compliance matters, including trading and execution issues, federal and state registration and compliance issues; SEC, NYSE, NASD and state examinations, investigations and enforcement actions; development of new products and services; regulation of alternative trading systems; insider trading and market manipulation issues; best execution issues; Internet trading and on-line brokerage; interpretive and “no-action” requests; and related matters.

Prior to joining the firm, Mr. Fitterman was Associate Director of the SEC’s Division of Market Regulation and Office of Compliance Inspections and Examinations, where he was responsible for the inspection and oversight for the nation’s stock and options markets, including sales practice compliance, insider trading, market surveillance, enforcement, arbitration and listing. Mr. Fitterman was also responsible for nation-wide coordination of the SEC’s broker-dealer examination program and served as liaison to the SEC’s Division of Enforcement and the North American Securities Administrators Association on matters involving securities markets and broker-dealer regulation.

Mr. Fitterman is admitted to practice in the District of Columbia and Ohio.