Amy Natterson Kroll: Lawyer with Bingham McCutchen LLP

Amy Natterson Kroll

Washington,  DC  U.S.A.

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Practice Areas

  • Broker-Dealer Regulatory
  • Financial Institutions Regulatory
  • Enforcement and Litigation
  • Financial Services
  • Hedge Funds
  • Investment Management
  • Privacy and Security
  • Registered Investment Companies
  • Trading and Markets
  • Financial Reform / Volcker Rule
  • Data Security
  • Compliance
Contact InfoTelephone: 202.373.6118
Fax: 202.373.6001
University Wesleyan University, Bachelor of Arts, cum laude, 1980
Law SchoolBenjamin N. Cardozo School of Law, Juris Doctor, 1983
Admitted1984, New York; 1992, District of Columbia

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Microcap Securities: OCIE Issues Risk Alert Related to Broker-Dealer Controls Regarding Customer Sales
Amy Natterson Kroll,Elizabeth A. Marino,Michael R. Weissmann, November 10, 2014
On October 9, 2014, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert reporting on significant deficiencies it found in its sweep of 22 broker-dealers that regularly sell microcap...

Andrew Ceresney: 2014 Enforcement Accomplishments and Priorities Relating to Financial Services Firms
Amy Natterson Kroll,Elizabeth A. Marino, July 14, 2014
Andrew Ceresney, Director, Division of Enforcement (the “Division”), Securities and Exchange Commission (“Commission”), recently spoke at Compliance Week 2014 regarding the Division’s accomplishments over the past year and its priorities for the remainder of 2014.1 Of...

FINRA Initiates Retrospective Rule Review Heavy on Process, Vague on End Game
Margaret R. Blake,Amy Natterson Kroll,Gail Marshall,Michael R. Weissmann, April 11, 2014
On April 8, 2014, FINRA published two regulatory notices (“Regulatory Notices”) kicking off its much discussed retrospective review of significant rulemaking. According to FINRA, the purpose of the retrospective review is to determine whether specific rules are meeting their...

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Office Information

Amy Natterson Kroll

2020 K Street NW
WashingtonDC 20006


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