William J. Barbera focuses his practice on transactional and regulatory matters related to broker-dealers, hedge funds and other financial institutions. Bill advises clients in connection with mergers and acquisitions involving broker-dealers, the regulation of alternative trading systems, and best execution practices at broker-dealers.

Publications

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

“SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems,” SRZ Alert, July 31, 2018 (co-author); republished in Law360, Aug. 16, 2018

“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 

Speaking Engagements

“Regulatory Compliance 2019,” SRZ 28th Annual Private Investment Funds Seminar, New York, January 2019

Prior Experience

  • Intern, U.S. Attorney’s Office for the Southern District of Illinois