Derek N. Lacarrubba advises broker-dealers and ATSs on SEC and SRO rules and represents them in regulatory investigations and enforcement actions.

Drawing on his experience as an auditor, risk consultant and member of the in-house counsel team at a bulge bracket investment bank, Derek’s practice focuses on advising sell-side firms on equities trading and reporting practices. Derek also advises buy-side institutions with respect to marketplace rules, such as Regulation SHO and Regulation M.

 

Publications

“SEC Adopts Rules to Enhance Order Handling Information Available to Investors,” SRZ Alert, Dec. 14, 2018 (co-author)

“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