Jennifer D. Morton is a partner in the global Financial Institutions Advisory & Financial Regulatory group and leads the firm’s broker-dealer regulatory practice. She is also Co-Chair of the firm’s FinTech initiative.
Jennifer represents global investment banking firms, private banks and wealth management organizations, electronic trading platforms, alternative trading systems, investment advisers, hedge funds, private equity firms, trade associations including SIFMA, and U.S. and non-U.S. broker-dealers and banks on matters involving the regulation of broker-dealers and securities markets.
Jennifer advises clients on a wide range of corporate and regulatory compliance matters, including in connection with mergers and acquisitions and cross-border transactions, restructuring and business expansion matters and trading and markets issues. She also has extensive experience representing U.S. and non-U.S. corporate and investment banking clients in public offerings and private placements and assisting clients on internal investigations and enforcement matters.
In this regard, Jennifer regularly counsels clients on SEC net capital and customer protection rules, broker-dealer/cross-border requirements under SEC Rule 15a-6 and related guidance, cybersecurity rules, books and records requirements, the formation, registration and expansion of broker-dealers and alternative trading systems, FINRA corporate financing and conflicts of interest rules, FINRA IPO allocation rules, SEC trade reporting rules including CAT and TRACE reporting, and rules governing the preparation and distribution of research.
Prior to joining the Financial Institutions Advisory & Financial Regulatory team, Jennifer was a member of the firm’s Capital Markets team, where she represented issuers and financial institutions in connection with securities offerings, including shelf registrations and take-downs of equity and investment grade debt, Rule 144A/Reg. S high-yield debt offerings, tender offers and consent solicitations.
As Co-Chair of the FinTech initiative, Jennifer represents market participants, including financial services firms and FinTech startups on securities and broker-dealer regulatory matters relating to digital assets and blockchain technology. Jennifer is a member of the American Bar Association, Business Law Section’s Committee on Federal Regulation of Securities, Subcommittee on FINRA Corporate Financing Rules, Subcommittee on Trading and Markets, Task Force on Blockchains, Cryptocurrencies and Asset Management, Committee on State Regulation of Securities and Subcommittee on State Broker-Dealers and Investment Advisers.