Steven M. Felsenstein: Lawyer with Greenberg Traurig, LLP

Steven M. Felsenstein

Co-Chair, Investment Regulation Group
Philadelphia,  PA  U.S.A.

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Experience & Credentials

Practice Areas

  • Investment Regulation
  • Corporate & Securities
  • Financial Institutions
  • Mergers & Acquisitions
  • Financial Regulatory and Compliance Group
  • Global Securities
Contact InfoTelephone: 215.988.7837
Fax: 215.717.5248
University Long Island University - C.W. Post Campus, B.A., Political Science, 1970
Law SchoolGeorgetown University Law Center, J.D., 1974
Admitted1974, Maryland; 1975, District of Columbia; 1982, Pennsylvania; Supreme Court of Pennsylvania; Supreme Court of the United States; U.S. Court of Appeals for the District of Columbia Circuit; U.S. Court of Appeals for the Second Circuit; U.S. Court of Appeals for the Third Circuit; U.S. District Court for the District of Columbia; U.S. District Court for the Eastern District of Pennsylvania

Professional & Community Involvement

•Member, American Bar Association, Corporations, Banking and Business Law Section, Investment Companies Subcommittee
•Member, Philadelphia Bar Association
•Member, Securities Committee
•Member, Investment Companies Committee
•Trustee, Temple Emanuel of Cherry Hill
•Member, Cherry Hill Township Zoning Board, 1987-1991
•Chairman, Cherry Hill Township Cable Television Board, 1985-1987

BornNew York, N.Y., 1945

Steven M. Felsenstein focuses his practice on serving clients involved in financial services industries. He advises investment companies registered under the Investment Company Act of 1940, investment advisers registered under the Investment Advisers Act, and other administrators and service providers involved in the industry. Steven also represents broker-dealers and transfer agents registered under the Securities Exchange Act of 1934, and issuers of securities under the Securities Act of 1933. Steven represents clients in connection with administrative proceedings conducted by the SEC and FINRA, and participates in related actions. Steven's prior practice includes experience as a staff member in the Division of Corporation Finance and as a Branch Chief in the Division of Investment Management at the U.S. Securities & Exchange Commission.

Areas of Concentration

•Investment company representation
•Investment advisory matters
•Securities regulatory matters
•Organization and operation of hedge funds
•Limited and private offerings
•Broker-dealer matters
•General corporate matters

Awards & Recognition

•Team Member, Corporate Board Member magazine and FTI Consulting Inc., one of America's Best Corporate Law Firms, 13th Annual Legal Industry Study, 2013

Articles, Publications, & Lectures

•Quoted, Best practices for compliance reviews as regulators ramp up scrutiny of branch offices, IA Watch, January 29, 2015
•Quoted, FINRA Emphasizes That Outsourcing Doesn't Diminish Compliance Responsibilities, IA Watch, January 22, 2015
•Co-Author, New SEC Rule Helps Entrepreneurs Raise Capital, Daily Business Review, October 1, 2013
•Author, A Fresh Eye to the Futures,, December 3, 2002
•Co-Author, Clean Fight,, October 18, 2002
•Speaker, The Legal Risks of Modern Technology, Seminar

Associated News & Events

Press Releases

01.05.15 A Year in Review: Greenberg Traurig Philadelphia

11.14.14 Greenberg Traurig Philadelphia Receives Five First-Tier Rankings in U.S. News - Best Lawyers 2015 'Best Law Firms'

Published Articles

10.01.13 New SEC rule helps entrepreneurs raise capital

10.18.02 Clean Fight


01.14.15 Payments to Unregistered Persons - The Next Round

01.13.15 Coming Soon: New Background Check Obligations for Securities Broker-Dealers

02.07.14 Sometimes You Don't Have to Register

07.11.13 SEC Lifts Ban on General Solicitation in Certain Private Securities Transactions; Disqualifies 'Bad Actors' from Rule 506 Offerings

04.19.13 Investment Regulation Update - April 2013

09.25.12 SEC Proposes Rule to Eliminate Ban on General Solicitation and Advertising

07.22.10 The Dodd-Frank Wall Street Reform and Consumer Protection Act

04.07.08 U.S. Treasury Department Proposes Sweeping Changes to Financial Services Regulatory Framework

10.01.07 Federal Study of U.S. Financial Regulatory Structure

08.01.05 Recent SEC Administrative Proceeding Against Hedge Fund Adviser Illustrates Classic Application of Integration Principles and Limitations on Private Offering Exemptions

Profile Visibility
#1,314 in weekly profile views out of 17,267 lawyers in Philadelphia, Pennsylvania
#119,626 in weekly profile views out of 1,691,864 total lawyers Overall

Office Information

Steven M. Felsenstein

2001 Market Street
PhiladelphiaPA 19103


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