Mr. Dombach’s practice focuses on providing regulatory guidance to exchanges, trading and advisory firms, and related individuals and assisting those entities and individuals in regulatory inquiries.  His work involves complex trading and markets issues as well as the SRO rule filing process.  His work includes advising clients with respect to proposals to establish new trading programs and products and related requests for exemptions and no-action relief before the SEC, as well as the defense of trading-related SEC and SRO investigations.

Publications

• Securities and Exchange Commission Proposes Access Fee Pilot Affecting All NMS Stocks
  (03/16/2018)
  
• SEC’s Ultimatum to Token Platforms is No Choice at All: Register as an ATS or Go Out of Business
  (Co-authored with Matthew B. Comstock)
  (03/14/2018)
  
• States Leading the Way in Developing Regulatory Approach to Utility Tokens
  (03/08/2018)
  
• What is a Regulation SHO bona-fide market maker?
  (Co-authored with Larry E. Bergmann)
  Journal of Investment Compliance | (2017)
  
• FIRREA Threatens to Add to Government's Financial Crisis Arsenal
  (Co-authored with James K. Goldfarb)
  American Bar Association | (01/03/2014)