David S. Sieradzki focuses his practice on representing broker-dealers, investment advisers and hedge funds in connection with matters arising under federal and state securities laws and self-regulatory organization rules. His practice encompasses a wide range of regulatory issues affecting financial services firms and institutional investors, including market access; equity and fixed-income trading practices; order handling and execution issues; market making; broker-dealer and alternative trading system registration; outsourcing; audit trail and trade reporting requirements; and creation and distribution of research reports and other communications with the public. He also advises clients in connection with mergers and acquisitions involving broker-dealers. In addition to regulatory counseling, David represents clients in enforcement proceedings and conducting internal investigations. He has played an important role in matters involving, among other things, specialist trading, market making, agency trading, market access, research, broker-dealer registration and the self-regulatory function of securities exchanges. Prior to entering private practice, David was a special counsel at the U.S. Securities and Exchange Commission’s Division of Trading and Markets and counsel to Commissioner Isaac C. Hunt, Jr.
Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press) (contributor)
“The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers,” SRZ Alert, April 26, 2016 (co-author); republished in The Hedge Fund Journal, April/May 2016
AIMA MiFID2 Implications for U.S. Investment Managers, April 2017
“Trading Compliance,” SRZ 26th Annual Private Investment Funds Seminar, January 2017
- Listed as a leading financial services regulation attorney in:
- Chambers USA