Eden Rohrer is a partner in the firm’s New York office. She concentrates her practice in securities broker-dealer regulatory, compliance, enforcement defense, litigation and arbitration matters in the financial services and fintech industries. She advises emerging and established companies on the development, regulation and operation of funding portals, capital raising platforms and trading platforms, including in connection with angel investing, crowdfunding, in the private and public securities markets. In addition, Ms. Rohrer advises clients with respect to digital securities and assets, distributed ledger and blockchain technologies, cryptocurrencies and initial coin offerings (ICOs).
Ms. Rohrer’s practice involves all aspects of broker-dealer regulation, including Self Regulatory Organization (SRO) membership, cross border transactions and chaperoning of foreign broker-dealers (under SEC Rule 15a-6), . She also provides regulatory guidance to investment banking clients in connection with securities offerings and related trading issues.
She advises firms in the FINRA new membership (NMA) and the continuing membership (CMA) processes and prepares required materials, files applications and shepherds firms through the entire process. She has assisted clients to develop and obtain various regulatory approvals for electronic brokerage platforms, alternative trading systems (ATS) and robo-adviser platforms. She has advised not-for profits and university incubators.
Ms. Rohrer assists broker-dealers and their associated persons to respond to regulatory examinations and inquiries and provides effective representation in a range of enforcement proceedings with the SEC, FINRA, NYSE, state and foreign regulatory authorities. She has many years of experience preparing and defending witnesses in FINRA on-the-record interviews and SEC testimony. Enforcement matters have involved issues including market manipulation, insider trading, anti-money laundering, distribution of unregistered securities, net capital requirements, direct market access, market making, Rule 15c2-11, Regulation M, soft dollar arrangements, cross border trading, electronic intrusion and customer impersonation, sales practices, supervision, private placements in both privately held and publicly traded securities, credit default swaps, futures, options, fixed income, indexes, and other investment products.
Articles in the National Law Review database by Eden L. Rohrer