August 9, 2020

Volume X, Number 222

Steven M. Felsenstein

Steven M. Felsenstein is an attorney in the Investment Regulation Practice and Co-Chair of the Financial Regulatory and Compliance Practice and focuses his practice on serving clients involved in financial services industries. He advises investment companies registered under the Investment Company Act of 1940, investment advisers registered under the Investment Advisers Act, and other administrators and service providers involved in the industry. Steven also represents broker-dealers and transfer agents registered under the Securities Exchange Act of 1934, and issuers of securities under the Securities Act of 1933. Steven represents clients in connection with administrative proceedings conducted by the SEC and FINRA, and participates in related actions. Steven’s prior practice includes experience as a staff member in the Division of Corporation Finance and as a Branch Chief in the Division of Investment Management at the U.S. Securities & Exchange Commission.

  • Investment company representation

  • Investment advisory matters

  • Securities regulatory matters

  • Organization and operation of hedge funds

  • Limited and private offerings

  • Broker-dealer matters

  • General corporate matters

Articles in the National Law Review database by Steven M. Felsenstein