Kyle D. Whitehead is a securities lawyer who advises broker-dealers, investment advisers, and investment companies on regulatory compliance and transactional matters arising under federal and state securities laws and related US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other self-regulatory organization (SRO) rules and regulations. Prior to joining Morgan Lewis, Kyle was an associate in a nationally recognized financial services regulatory practice, where he concentrated on federal and state securities law and state insurance law issues relating to the development and distribution of variable insurance products and mutual funds.
In his prior role, Kyle assisted clients in the drafting of private placement memoranda for innovative variable insurance products sold on a private placement basis, and performed various risk analyses of matters involving suitability, marketing materials, and related compliance issues arising under federal and state securities and state insurance laws and regulations. Kyle also counseled clients on the organization and registration of insurance-affiliated broker-dealers and investment advisers, including the development of compliance infrastructures, and on the need to self-report potential SEC and FINRA compliance issues.
During law school Kyle participated in the SEC’s Honors Law Program, working in the Division of Enforcement’s Market Abuse Unit. While with the SEC, he assisted in the investigation of illegal trading schemes and advised the staff on the applicability of various market regulations, including Regulation M and Regulation NMS. Prior to law school, Kyle served in a compliance role at LPL Financial, where he performed daily and periodic surveillance of trading and other market-related activities of financial professionals, and, prior to that role, he supported a team of financial advisors for Merrill Lynch’s private wealth management division in the management of over $1 billion in client assets. Kyle formerly held the FINRA Series 7, 66, 24, and 4 securities registrations.
The George Washington University Law School, 2013, J.D., With Honors
University of Virginia, 2004, B.A.
District of Columbia
Awards and Affiliations
Member, Best ETF Law Firm, ETF Express US Awards (2021)
Member, Practice Group of the Year, Asset Management, Law360 (2017)
Member, ABA Business Law Section Committee on Federal Regulation of Securities
Member, George Washington University International Law Review (2011–2013)