About Wayne M. Aaron
Leveraging considerable experience, Wayne Aaron helps broker-dealers, other market participants and their management stay ahead of ever-changing financial services regulatory requirements. He is committed to excellent client service, whether in providing ongoing regulatory counsel and analysis, managing regulatory and internal investigations deftly, or navigating complex regulatory or enforcement proceedings.
Astute counsel on financial services matters involving the SEC, FINRA and other regulators
Wayne provides counsel on various broker-dealer regulation and enforcement matters, investment adviser issues, government and internal investigations, market structure and trading matters, fintech issues, and financial services firm acquisitions. He has deep relationships at the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), well-positioning him to advise broker-dealers, fintech firms and other market participants on applicable rules and regulations, and market practices relating to sales and trading and market-making practices, electronic trading and order routing, research publication and conflicts of interest, raising capital and other market activities. For firms required to become FINRA members and comply with FINRA requirements, Wayne is a go-to resource for that process.
"Wayne Aaron really knows the regulatory process and has very good relationships with regulators. He's sensitive to their sensitivities and does it in a way that makes him an effective advocate for his clients. He's an excellent and persuasive writer too."
Chambers USA 2023
(Financial Services Regulation: Broker Dealer/Enforcement) survey response
Practice Focus
- Broker-dealer regulatory and enforcement
- Equity and fixed-income market structure
- Sales, trading, market making, high-frequency trading and order-routing issues and obligations
- Best execution obligations and related issues under Regulation NMS
- Regulation ATS compliance, including ATS formation and operations issues and disclosures
- FINRA and SRO registration and material changes
- Supervisory systems and implementing effective Written Supervisory Procedures
- Capital markets
News
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June 6, 2024
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May 15, 2024
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January 17, 2024
Publications
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NewsletterAuthor
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September 23, 2024
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February 23, 2024
Quick Reads
Presentations and Events
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July 10, 2024Presenter
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February 13, 2024
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February 1, 2024
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April 5, 2022Financial Information Forum Webinar SeriesCo-Presenter | Short Position and Short Activity Reporting by Institutional Investment Managers
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February 1, 2021Financial Information Forum Webinar SeriesCo-Presenter | SEC Market Data Infrastructure Rule