Practice Areas - Securities
- Financial Institution Regulation
- Broker-Dealer Registration
| - Broker-Dealer Regulation
- Financial Services Regulation
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| University | St. Johns College, Santa Fe, B.A., 1980 |
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| Law School | Boston University, J.D., magna cum laude, 1983 |
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| Admitted | 1983, Massachusetts; 2006, New York |
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| Memberships | New York County Lawyers' Association. |
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| Born | Cambridgeshire, England |
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| Biography | Associate, Palmer & Dodge, 1983-1986. Senior Associate, Lane & Altman, 1986-1991. Staff Attorney, US Securities & Exchange Commission, Division of Market Regulation, 1991-1994. Senior Counsel/Team Leader, US Securities & Exchange Commission, Division of Market Regulation, 1994-1996. Assistant Director, US Securities & Exchange Commission, Office of Compliance Inspections and Examinations, 1996-1997. Assistant General Counsel, Bank of America, 1997-2001. Vice President, Enforcement and Examinations, American Stock Exchange, 2001-2003. Senior Vice President and Chief Regulatory Officer, American Stock Exchange, 2003-2005.
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| ISLN | 909232861 |
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Documents by this lawyer on Martindale.com | |
Final SEC Rule Regulating Large Trader ReportingGlen P. Barrentine,Steven David Lofchie,Brian M. Trunzo, September 23, 2011 On July 27, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 13h-1 ("Rule 13h-1" or the "Large Trader Rule") and related Form 13H as directed by Section 13(h) of the Securities Exchange Act of 1934 ("Exchange Act"). Rule 13h-1 requires... |
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