A former associate director at the US Securities and Exchange Commission (SEC), Mark D. Fitterman advises clients on federal and state broker-dealer regulations and compliance. He also guides clients through SEC, Financial Industry Regulatory Authority (FINRA), exchange and state examinations, investigations, and enforcement actions. Mark’s regulatory and compliance practice includes counseling clients on financial responsibility rule compliance and trading and execution issues, as well as federal and state registration and compliance issues.
Mark advises clients on the development of new products and services, regulation of alternative trading systems, and insider trading and market manipulation issues. He also counsels clients on best execution and market structure issues, online trading, interpretive and “no-action” requests, and related matters.
While at the SEC, Mark was associate director of the Division of Market Regulation and Office of Compliance Inspections and Examinations. There he was responsible for the inspection and oversight of the nation’s stock and options markets, including sales practice compliance, insider trading, market surveillance, enforcement, arbitration, and listing. Mark was also responsible for nationwide coordination of the SEC’s broker-dealer examination program. He served as liaison to the SEC’s Division of Enforcement and the North American Securities Administrators Association (NASAA) on matters involving securities markets and broker-dealer regulation.
Georgetown University Law Center, 1974, J.D.
Oberlin College, 1964, A.B.
Wright State University, 1971, M.B.A.
District of Columbia
Awards and Affiliations
Member, Practice Group of the Year, Asset Management, Law360 (2017)