Financial Services Regulation: Broker Dealer (Compliance) (Band 2)
Practice Areas: Partner, Asset Management Group. Specializes in securities regulatory law, with particular emphasis on broker-dealer, market structure and compliance matters. Counsels clients on regulatory compliance and also represents clients in regulatory investigations/ inquiries/examinations. Practice focuses on trading rules, derivatives, alternative trading systems, and broker-dealer regulatory and compliance issues. Clients have included major securities firms, equity and options market-making desks, securities and derivatives markets, electronic/Internet-based trading systems and hedge funds. Served as independent consultant for several entities with respect to their enforcement settlements with SEC.
Personal: JD, University of Michigan Law School, 1981. MA, University of Michigan, 1979. BA, University of Michigan, 1977. See: http://www.willkie.com/HowardKramer