A&O Shearman

Financial Institutions Advisory & Financial Regulatory

Partner and leader of firm's broker-dealer regulatory practice

Jennifer represents global investment banks, financial institutions, private banks, investment advisers, hedge funds, private equity funds, trade associations (SIFMA) and other market participants on matters involving the regulation of broker-dealers and securities markets.

She advises clients on a wide range of regulatory and transactional matters, including in connection with mergers and acquisitions, SEC registration and SRO membership (FINRA, DTCC and the exchanges), restructuring and expansion of business operations, and trading and markets issues.  She also has extensive experience representing U.S. and non-U.S. corporate and investment banking clients in public offerings and private placements and assisting clients on internal investigations and enforcement matters.

In this regard, Jennifer regularly counsels clients on a wide range of federal, state, and SRO rules and regulations governing the activities of broker-dealers, including net capital, customer protection, cross-border requirements under SEC Rule 15a-6, cybersecurity, books and records, SEC Regulation Best Interest and Form CRS, FINRA corporate financing and conflicts of interest, new issues/IPO allocation, trade reporting, and the preparation and distribution of research. She also advises financial services firms and fintech companies on securities and broker-dealer regulatory matters relating to digital assets and blockchain technology, including broker-dealer and ATS registration and custody issues.