Ignacio A. Sandoval

Partner

Ignacio A. Sandoval advises broker-dealers and other securities intermediaries on matters relating to their obligations under federal securities laws and self-regulatory organization rules. Prior to joining Morgan Lewis, he was a special counsel in the Office of Chief Counsel in the SEC’s Division of Trading and Markets. Ignacio’s SEC experience includes matters involving domestic and foreign broker-dealer registration matters, anti-money laundering obligations, alternative trading systems, and high-frequency traders.

blog contributor

All Things FinReg

event

Financial Information Forum’s Spotlight Presentation on the SEC’s Recent Electronic Recordkeeping Rule Proposal

lawflash

President’s Working Group Report: Stablecoin Issuers Should Be Banks; Status as Securities or Commodities Still Unclear

outside publication

Navigating Dealer Status After SEC Settlement With Adviser, Law360

lawflash

Outsourcing: FINRA Outlines Onboarding and Supervision Suggestions for Use of Third-Party Vendors

Extended Profile

Ignacio’s additional experience includes matters relating to the safe harbor from broker status for an issuer’s personnel, statutory disqualifications, transaction confirmations, US clearing agencies and exchanges, transfer agents, clearing agreements, financial responsibility rules and margin, recordkeeping obligations, and the outsourcing of broker-dealer technology and platforms. Ignacio also has experience with issuer listing standards, alternative trading system registrations, and enforcement matters involving broker-dealers, clearing agencies, transfer agents, and derivatives.