Andrew M. Klein counsels securities exchanges, broker-dealer firms engaged in various segments of the securities industry, investment advisers, money managers, hedge funds, and publicly owned companies on a broad range of compliance and regulatory issues arising under the federal securities laws, the rules of the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE), NASD Inc., and other self-regulatory organizations in various contexts, including in connection with formal and informal enforcement investigations and inspections.
His clients include:
- Securities exchanges
- Alternative trading systems and electronic communications networks
- Major broker-dealer firms in connection with proprietary trading and derivative instruments (including transactions with issuers of securities and their associated persons)
- Specialists and market makers
- Money managers, investment advisers, and hedge funds (foreign and domestic), including their formation, registration, compliance procedures, investment management and investment arrangements, and in connection with their oversight by regulatory authorities
- Publicly owned companies in connection with transactions in their own securities