Maurine R. Bartlett

Senior Counsel
New York,  NY  U.S.A.
Phone212 504 6218

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Experience & Credentials
 

Practice Areas

  • Bank Regulation
  • Broker-Dealer Regulation
  • Corporate
  • Derivatives & Structured Products
  • Financial Regulation
  • Swap Regulation
  • Investment Management
  • Investment Management Regulation & Compliance
  • Investment Management Transactions
  • OTC Derivatives
  • Structured Products
 
University University of Michigan, B.A., with high distinction Member of Phi Beta Kappa
 
Law SchoolGeorgetown University Law Center, J.D., magna cum laude, 1979 Editor of the Georgetown Law Journal, Co-Chairman of The Barristers' Council
 
Admitted1979, District of Columbia; 1988, New York
 
Biography

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.

Maurine has given compliance presentations for a number of broker-dealers and has participated in numerous SIFMA, BMA, and other panels. She is ranked as a leading lawyer in the 2012, 2011, 2010, and 2009 editions of Chambers USA: America's Leading Lawyers for Businesswherein she is praised as “a key player in the broker-dealer team, and is equally adept at advising on compliance and assisting with enforcement actions or arbitrations.” She has also been recommended by Legal 500. Maurine has been identified as one of the top 1,000 banking industry professionals in an American Banker-Bond Buyer reference book. She has co-authored a chapter on asset-backed securities for The Handbook of Asset-Backed Securities, as well as a chapter of the Regulation of the Commodities Futures and Options Marketstreatise, and is the author of a chapter on the Glass-Steagall Act and Regulation D in The Securitization of Financial Assets.

A magna cum laude graduate of Georgetown University Law Center, Maurine was an Editor of the Georgetown Law Journal and served as Co-Chairman of The Barristers' Council. She earned her bachelor's degree, with high distinction, at the University of Michigan, where she was a member of Phi Beta Kappa.

Prior to law school, Maurine worked as a legislative assistant to Congressman Philip Ruppe (R-Mich).

She is admitted to practice in the State of New York. Maurine was a Cadwalader partner for many years and is currently a senior counsel.

News Releases

• Cadwalader Named 2014 Americas Derivatives Law Firm of the Year; Ray Shirazi Recognized as Top Derivatives Lawyer Sep 19, 2014

• Cadwalader Recognized With Two Major IFLR Americas Awards Mar 28, 2014

• The Legal 500 Recognizes More than 15 Cadwalader Practices and 47 of the Firm's Lawyers Across U.S. Offices Jun 06, 2012

• Cadwalader Lauded in Multiple Practices in Chambers USA Jun 12, 2009

Recognition

• Cadwalader Named 2014 Americas Derivatives Law Firm of the Year; Ray Shirazi Recognized as Top Derivatives Lawyer Sep 19, 2014

• Chambers and Partners USA 2014 May 23, 2014

• Cadwalader Recognized With Two Major IFLR Americas Awards Mar 28, 2014

• Chambers and Partners USA 2013 May 24, 2013

• Chambers and Partners USA 2012 Jun 07, 2012

• 2012 Legal 500 US Jun 06, 2012

Clients & Friends Memos

• SEC Adopts Significant Amendments to Private Placement Rules: JOBS Act Rules Eliminate Ban on General Solicitation and Dodd-Frank Mandate Disqualifies Bad Actors Aug 13, 2013

• SEC Issues No-Action Letter Addressing Registration Requirements for Certain Advisory Affiliates Feb 13, 2012

• The SEC Approves Final Version of Form PF Oct 28, 2011

• SEC Seeks Public Comment On Treatment of Asset-Backed Issuers under the Investment Company Act Sep 13, 2011

• SEC Adopts Dodd-Frank Act Investment Adviser Rules and Delays Implementation of Some Deadlines Jun 27, 2011

• The Dodd-Frank Act: How It Impacts Specific Institutions, Entities and Transactions Jun 22, 2011

• Changes to the Regulation of Broker-Dealers and Investment Advisers Under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act Aug 12, 2010

• Changes to the Regulation of Banks, Thrifts, and Holding Companies Under the Dodd-Frank Wall Street Reform and Consumer Protection Act Jul 20, 2010

• Regulation of Systemically Significant NonBanks Under the Dodd-Frank Wall Street Reform and Consumer Protection Act Jul 20, 2010

• Hedge Fund Regulation Under the Dodd-Frank Wall Street Reform and Consumer Protection Act Jul 20, 2010

• The New Scheme for the Regulation of Swaps, with Appendices on Retroactivity, Special Entities and Tax, Under the Dodd-Frank Wall Street Reform and Consumer Protection Act Jul 20, 2010

• Regulation of End Users of Swaps Under the Dodd-Frank Wall Street Reform and Consumer Protection Act Jul 20, 2010

• Some Concerns with the Regulation of Large Non-Bank Holding Companies Jun 03, 2010

• The Changing Face of Hedge Fund Regulation May 27, 2010

• The FDIC's Statement of Policy on Qualifications for Failed Bank Acquisitions Aug 31, 2009

• Over-the-Counter Derivatives Markets Act of 2009 Aug 20, 2009

• Private Equity Investments in Troubled Banks Jul 15, 2009

• Obama Proposal for Regulatory Reform as It Relates to OTC Derivatives Markets Jun 22, 2009

• The Obama Administration's Financial Regulatory Reform Proposal Jun 22, 2009

• The Obama Administration's Financial Regulatory Reform Proposal and Its Impact on the Securitization Markets Jun 22, 2009

• Obama Administration's Financial Regulatory Reform Proposal Introduced Jun 17, 2009

• The Banking Act 2009: Counterparty Rights and Insolvent Banks Mar 10, 2009

Events

• Municipal Securities Activity by Broker-Dealers and Advisors 2013 May 31, 2013

• Dodd-Frank Workshops: LSOC & OTC Documentation Sep 13, 2012

 
ISLN909216694
 
Profile Visibility
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Office Information

Maurine R. Bartlett


New YorkNY 10281-0006




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