Gail Bernstein’s practice focuses on US financial regulatory reform and on securities and derivatives and futures law and broker-dealer and swaps regulation. She has assisted clients in connection with numerous Dodd-Frank Act rulemakings and regularly counsels clients on the implications of and compliance with the Dodd-Frank Act, with a particular focus on the Volcker Rule and derivatives regulation. She also counsels SEC and CFTC registrants and other financial organizations on a broad range of regulatory matters, including compliance with SEC, CFTC and SRO rules. She has advised firms about sales practice and trading issues, has designed comprehensive compliance policies and supervisory procedures and counseled clients during their implementation. She has also represented clients in governmental investigations and internal reviews. Ms. Bernstein has authored numerous articles on a wide range of issues under the Dodd-Frank Act and is a regular participant on panels relating to securities, swaps and the Volcker Rule.
