Broker-Dealer Advisory & Counseling

Mark M. Attar attorney profile image

Washington, DC

T: (202) 661-7021
F: (202) 661-7059
Eric A. Bensky attorney profile image

Washington, DC

C: (202) 819-4883
T: (202) 220-1937
Larry E. Bergmann attorney profile image

Washington, DC

C: (202) 480-7222
T: (202) 661-7032
F: (202) 661-7059
Mauricio S. Beugelmans attorney profile image

San Francisco, CA

C: (415) 308-2987
T: (415) 651-5707
F: (415) 651-5708

New York, NY

T: (212) 880-3984
Christina M. Hill attorney profile image

Washington, DC

C: (202) 480-5278
T: (202) 661-7017
F: (202) 661-7059
Robert P. Howard, Jr. attorney profile image

Washington, DC

C: (202) 480-7326
T: (202) 661-7015
F: (202) 661-7059
Harris L. Kay attorney profile image

Chicago, IL

C: (312) 813-6855
T: (312) 820-5130
Joseph C. Lombard attorney profile image

Washington, DC

C: (312) 543-7750
T: (202) 661-7028
F: (202) 661-7059
Thomas J. McGonigle attorney profile image

Washington, DC

C: (202) 680-4941
T: (202) 661-7010
F: (202) 661-7059

New York, NY

T: (212) 880-3624
Paul A. Merolla attorney profile image

New York, NY

C: (646) 522-3529
T: (212) 880-3960
F: (212) 922-2870
Brian M. Walsh attorney profile image

Washington, DC

C: (202) 480-5921
T: (202) 661-7030
F: (202) 661-7059
For more information visit Our Team page.

Looking Forward

The coming year will bring a change in administrations and with it, a change in leadership at the SEC. Expect renewed emphasis on SEC rulemaking and examinations of broker-dealers. Regulation BI became effective in 2020. SEC and FINRA examiners will review firm’ practices and procedures relating to Regulation BI in 2021. Regulators continue to show a keen interest in broker-dealers’ use and supervision of trading algorithms and management of trading risk more broadly. Cybersecurity remains a priority both to broker-dealers in protecting their customers and assets and to regulators concerned about the impact of cyber breaches on investors and the markets. And of course, the SEC and FINRA will continue to scrutinize broker-dealers’ digital assets activities.