Steven Robert Blau

Formation and expansion of broker-dealers

• Formation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage, private banking and wealth management, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading

Broker-dealers involved in investigations and enforcement

• Representation of broker-dealers involved in SEC and FINRA investigations and enforcement actions, including with respect to: books and records retention; structured notes; ADR trading; trading in securities issued in accordance with Rule 144A; advertising (including fund  advertising materials); dealing in products of affiliated issuers, FINRA IPO allocation rules, the SEC net capital rule, and trade reporting rules (including both TRACE and OATS reporting).

Advice regarding investment management matters

Steven advises clients on investment adviser, broker-dealer, bank, and commodities regulatory considerations, including regulatory approvals for new registrants and changes in business activities, regulatory examinations, marketing, guidance on key contracts, and day-to-day compliance with the applicable rule-sets and regulatory questions, among other aspects of his practice.  Steven also has a particular background with respect to cross-border considerations of the same.