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Fecteau

Russell M. Fecteau

Of Counsel

Washington, DC Phone +1.202.373.6236 Fax +1.202.739.3001

1111 Pennsylvania Ave. NW//Washington, DC 20004-2541//United States

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).

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.

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

Admissions

  • District of Columbia
  • New York

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

Sectors

Services

News

2/25/2020 - Morgan Lewis 2019 Year in Review Highlights SEC, FINRA Priorities and Developments

Publications

5/18/2021 - FINRA Provides Guidance to Prevent and Mitigate Online Account Takeover Attempts
4/23/2021 - FINRA Member Firms Promptly Should Review Predispute Arbitration Provisions in Customer Agreements
February 2021 - 2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases
2011-2021 - Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases
February 2020 - 2019 Year in Review: Select SEC and FINRA Developments and Enforcement Cases
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