Dan also provides regulatory advice to issuers and underwriters in public and private securities transactions, advises clients on mergers and acquisition transactions involving a broker-dealer and provides clients general broker-dealer regulatory advice relating to the rules and regulations of the Securities and Exchange Commission and the Financial Industry Regulatory Authority (“FINRA”).
He also serves as Vice Chair of the American Bar Association’s FINRA Corporate Financing Rules Subcommittee.
While working at the National Association of Securities Dealers (today, FINRA) New York District Office, Dan assisted existing broker-dealers in business expansions, changes in control and ownership and formation of new broker-dealers. Dan also participated in and led examinations and investigations of broker-dealers.
Dan worked at other leading law firms prior to joining Dorsey providing broker-dealer regulatory advice to bank-affiliated broker dealers, stand-alone broker-dealers, high frequency and alternative trading systems, private equity and hedge funds, and non-U.S. entities with U.S. affiliated broker-dealer broker-dealers.
Dan assisted broker-dealers in obtaining regulatory approval for business expansions, ownership changes and in obtaining regulatory approval for new broker-dealers.
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- Private Equity
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