Kevin Ercoline focuses his practice on the regulation of asset managers, including the sponsors of registered investment companies and commodity pools. Kevin aids investment companies, investment advisers, commodity pool operators, and commodity trading advisers on navigating the regulatory environment promulgated by the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC). He counsels these clients on product formation, ongoing regulatory compliance, and exemptive applications or other regulatory filings unique to their business goals.
Prior to entering private practice, Kevin worked at the Financial Industry Regulatory Authority (FINRA) regulating the direct market access platforms of high frequency trading broker dealers as well as potential market latency issues. While in law school, he held two internships at the SEC and also interned for Judge Peter J. Messitte at the US District Court for the District of Maryland. Kevin also served as an articles editor for the American University Law Review.
American University Washington College of Law, 2014, J.D., summa cum laude
University of Texas at Austin, 2008, B.S.
District of Columbia
Awards and Affiliations
Member, ETF Law Firm of the Year, ETF.com (2019)
Member, Best ETF Legal & Compliance Firm, ETFexpress (2019)