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People

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.

Credentials

J.D., Boston College Law School

B.A., University of Virginia

New York

Boston College Law Review

Italian

News

In the News · Source: Law360, Global Competition Review, Bloomberg Law, New York Law Journal, Law.com International, Global Arbitration Review, Daily Journal, The Deal, Intellectual Property Magazine, World Trademark Review, Commercial Dispute Resolution, Global Investigations Review, Le Monde du Droit, La Lettre des Juristes d’Affaires, Daily Report, The Oath, Houston Business Journal, The Texas Lawbook and Chicago Daily Bulletin

December 3, 2021
K&S elects 32 new partners and promotes 16 counsel across 16 cities

View all

Matters

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

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Matters

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

News

In the News · Source: Law360, Global Competition Review, Bloomberg Law, New York Law Journal, Law.com International, Global Arbitration Review, Daily Journal, The Deal, Intellectual Property Magazine, World Trademark Review, Commercial Dispute Resolution, Global Investigations Review, Le Monde du Droit, La Lettre des Juristes d’Affaires, Daily Report, The Oath, Houston Business Journal, The Texas Lawbook and Chicago Daily Bulletin

December 3, 2021
K&S elects 32 new partners and promotes 16 counsel across 16 cities

View all

Matters

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

Icon close

Close

Matters

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

News

In the News · Source: Law360, Global Competition Review, Bloomberg Law, New York Law Journal, Law.com International, Global Arbitration Review, Daily Journal, The Deal, Intellectual Property Magazine, World Trademark Review, Commercial Dispute Resolution, Global Investigations Review, Le Monde du Droit, La Lettre des Juristes d’Affaires, Daily Report, The Oath, Houston Business Journal, The Texas Lawbook and Chicago Daily Bulletin

December 3, 2021
K&S elects 32 new partners and promotes 16 counsel across 16 cities

View all

Credentials

J.D., Boston College Law School

B.A., University of Virginia

New York

Boston College Law Review

Italian