Suggestions
Jed Doench
Of Counsel at Morgan, Lewis & Bockius LLP
James E. "Jed" Doench is an Of Counsel at Morgan, Lewis & Bockius LLP. He is a financial services lawyer who provides interdisciplinary counsel to clients on a wide range of regulations impacting their businesses.23
Areas of Expertise
Jed specializes in broker-dealer issues and regulatory developments in the financial services industry. Some key areas of his practice include:
- SEC regulations, particularly new rules affecting broker-dealers
- FINRA compliance requirements
- Digital assets and cryptocurrency regulations
Recent Work
In February 2024, Jed was involved in analyzing and presenting on the SEC's new "Dealer" rules, which significantly broadened the scope of broker-dealer definitions.1 He has also been active in discussing regulatory developments related to digital assets across different jurisdictions, including the Middle East, US, and UK.4
Speaking Engagements
Jed frequently speaks at industry conferences and events. For example:
- He was a speaker at a Morgan Lewis event in New York on June 11, 2024, discussing broker-dealer issues and the SEC's new dealer rules.1
- He has presented on regulatory developments in the digital asset space alongside colleagues.4
Jed's expertise and regular involvement in high-level industry discussions indicate that he is a respected authority in financial services regulation, particularly in areas concerning broker-dealers and emerging technologies in finance.
Highlights
In an unusual move, this past Friday the SEC stayed an amendment to FINRA Rule 2210 that had been approved a week earlier by the Division of Trading and Markets pursuant to delegated authority. The amendment, which has been years in the making, would finally allow broker-dealers to use performance projections in communications with QPs and institutional investors. Some further thoughts on this development:
https://lnkd.in/eg4fiXNy
Steve Stone, Jack O'Brien, Christine Ayako Schleppegrell, Christine Lombardo, Kyle Whitehead, Amy Kroll, Sarah Riddell
Check out the report that my colleagues Ignacio Sandoval, Kyle Whitehead and Sarah Riddell and I just published on the SEC's recent rulemaking to expand the dealer definition under the Exchange Act.
