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Russell M. Fecteau

Of Counsel

Russell Fecteau focuses his practice on securities enforcement defense and regulatory counseling for broker-dealers and individuals with respect to the federal securities laws, SEC rules, Financial Industry Regulatory Authority (FINRA) rules, and the rules of other self-regulatory organizations, such as the Municipal Securities Rulemaking Board (MSRB).

report

2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

report

2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    Extended Profile

    Russell previously spent more than a decade in FINRA’s Market Regulation Department. While at FINRA, Russell was part of various regulatory, examination, and enforcement activities involving the rules related to best execution; equity and fixed income trade reporting; fair pricing; Order Audit Trail System (OATS) reporting; record keeping; Regulations National Market System (NMS) and SHO; and supervision. He also investigated and resolved novel and complex matters involving prohibited trading practices.

    Education

    • American University, Washington College of Law, 2001, Juris Doctor, cum laude
    • Georgetown University Law Center, 2008, Master of Laws, with distinction
    • Marquette University, 1998, Bachelor of Arts, English

    Admissions

    • District of Columbia
    • New York

    Awards and Affiliations

    Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)

    Member, District of Columbia Bar Association

    Member, New York Bar Association

    Publications

    February 2019 - 2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    February 2018 - 2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    10/13/2014 - FINRA Solicits Comment on Proposed Rule to Implement CARDS

    7/15/2014 - SEC Orders a Pilot Program on Tick Sizes to Study Trading Behavior

    6/11/2014 - FINRA Provides Dark Pool Trading Data

    2/24/2014 - Broker-Dealers Should Prepare for Upcoming Effective Date for Certain Amendments to the Financial Responsibility Rules

    2/24/2014 - FINRA Requests Comments on Proposed Amendments to Reduce Counterparty Credit Risk for Transactions in the TBA Market

    1/17/2014 - Regulators Issue Annual Priorities Letters for Broker-Dealers

    1/6/2014 - FINRA Proposes a New Method to Obtain Transaction Information: Comprehensive Automated Risk Data System

    12/16/2013 - FINRA Files Proposed Rule Amendment to Require Policies And Procedures Concerning Unintentional Self-Trading Activity

    10/29/2013 - FINRA Files a Proposed Rule Change to Make Dark Pool Trading More Transparent

    10/25/2013 - FINRA Publishes Report on Conflicts of Interest and Provides Guidance to Broker-Dealers About Managing and Mitigating Conflicts

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