Maurine Bartlett is a member of the Financial Services Group in the New York City office of Cadwalader, Wickersham & Taft LLP, specializing in securities regulatory issues. She provides ongoing regulatory guidance to major broker-dealers, derivatives dealers, hedge funds and investment advisers, has experience drafting policies and procedures to facilitate compliance with applicable regulatory requirements and assists with transaction documentation and securities offerings. She addresses issues arising under all of the federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940, as well as under FINRA rules. As part of her practice, Maurine has assisted clients in connection with various NYSE, FINRA, and SEC enforcement proceedings, internal compliance reviews and applications to the Federal Reserve Board. She also has provided expert witness services in connection with broker-dealer arbitrations involving the margin rules and provided assistance with respect to the formation of SEC-registered broker-dealers and investment advisers.
