Trading & Markets Counseling

Mark M. Attar attorney profile image

Washington, DC

T: (202) 661-7021
F: (202) 661-7059
Christian R. Bartholomew attorney profile image

Washington, DC

C: (202) 853-4944
T: (202) 220-1940
F: (202) 661-7059
Larry E. Bergmann attorney profile image

Washington, DC

C: (202) 480-7222
T: (202) 661-7032
F: (202) 661-7059
Katherine Cooper attorney profile image

New York, NY

T: (212) 880-3630
F: (212) 825-9828
James Dombach attorney profile image

Washington, DC

C: (202) 834-2080
T: (202) 661-7019
F: (202) 661-7059
Stephen T. Gannon attorney profile image

Washington, DC

T: (202) 220-1924
F: (202) 661-7059

Richmond, VA

T: (804) 762-5339
Joseph C. Lombard attorney profile image

Washington, DC

C: (312) 543-7750
T: (202) 661-7028
F: (202) 661-7059
Thomas J. McGonigle attorney profile image

Washington, DC

C: (202) 680-4941
T: (202) 661-7010
F: (202) 661-7059

New York, NY

T: (212) 880-3624
Paul A. Merolla attorney profile image

New York, NY

C: (646) 522-3529
T: (212) 880-3960
F: (212) 922-2870
Ross Pazzol attorney profile image

Chicago, IL

T: (312) 820-5117
F: (312) 820-5106
William E. Walsh attorney profile image

Chicago, IL

T: (312) 820-5114
F: (312) 820-5106
For more information visit Our Team page.

Looking Forward

In 2021, the SEC’s Trading & Markets Division will likely need to provide additional guidance and extend relief provided in the early stages of the pandemic. The Commission and FINRA will address significant implementation issues regarding the amendments to Rule 15c2-11 and the October 2021 registration compliance date for security-based swap dealers. Trading of digital securities will expand along with associated regulatory issues. Congressional and Administration actions targeting Chinese companies may disrupt the trading market for their securities. Volatility will continue to be a key factor in 2021, as will the reaction of global markets as various geopolitical issues play out, including major trade issues and the results of the U.S. presidential election.