Broker-Dealer Advisory & Counseling

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
Meghan J. Carey attorney profile image

Washington, DC

T: (202) 661-7016
F: (202) 661-7059
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
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
Hong Le Webb attorney profile image

Washington, DC

C: (202) 816-9788
T: (202) 661-7014
F: (202) 661-7059
For more information visit Our Team page.

Looking Forward

In 2020, securities regulators likely will focus on issues relating to new digital currency products, interpretive advice on new Regulation BI, cybersecurity compliance, implementation of the amendments to Rule ATS, financial responsibility compliance, new uses of blockchain and artificial intelligence technologies in trading and trade processing, conflicts of interest and best execution, and decisions on trading rule pilots. The SEC and FINRA likely will increase focus on cybersecurity policies and procedures as well as continue to investigate compliance with anti-money laundering regulations.