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Linda Lerner

Linda Lerner

\r\nLinda Lerner is a partner in the Corporate, Financial Services and White\r\nCollar & Regulatory Enforcement groups of Crowell & Moring's New York\r\noffice. She has extensive experience with regulatory and compliance issues\r\nrelating to public and private sales of securities, advertising and sales\r\nmaterial, market making, electronic trading, broker-dealer formation,\r\noperations and reporting requirements, SRO, new and continuing membership\r\napplications, ECN and ATS formation and operation, municipal advisor\r\nregistration, and market structure issues.\r\n\r\n\r\nLinda is a member of Nasdaq's National Review Council and Market\r\nOperations Review Committee and served on FINRA's e-Brokerage\r\nCommittee. She is also a member of the American Bar Association's Task\r\nForce on Private Placement Broker-Dealers, for which she drafted regulations\r\nthat were submitted to the SEC. Linda is the facilitator for the Midtown\r\nRegulatory Group, a group of over 600 senior compliance and legal officers\r\nfrom brokerage firms located throughout the U.S. that meets monthly to\r\ndiscuss regulatory issues. She is regularly a speaker on regulatory and\r\ncompliance issues and most recently participated in the International Law\r\nDiscovery and Disclosure Group Conference on Tax Havens, Money\r\nLaundering and Compliance Risks, "Preventing AML Breaches Through\r\nEffective Compliance;" SIFMA-CL Annual Compliance Conference, "Compliance\r\nIssues for Small and Regional Firms;" National Society of Compliance\r\nProfessionals Annual Conference, "ABCs of Electronic Brokerage;" ALI-ABA\r\nConference on FINRA\/SEC Compliance and Enforcement, "Broker-Dealer and\r\nInvestment Adviser Regulation of Hedge Funds;" and International Centre for\r\nDispute Resolution, "Compliance Issues for Small and Regional Firms."\r\n\r\n\r\nPrior to joining Crowell in 2011, Linda spent seven years at Debevoise &\r\nPlimpton as broker-dealer regulatory counsel. Linda also served for 12 years\r\nas General Counsel at Domestic Securities, Inc., a registered broker-dealer,\r\nwhere she focused on a wide range of broker-dealer regulatory and\r\ncompliance issues. During this time, she served on several NASD and Nasdaq committees, including the Membership Application Review Committee, the\r\nMarket Operations Review Committee and the Trading Rules Subcommittee of\r\nthe Quality of Markets Committee, and was a frequent lecturer on regulatory\r\nand market structure matters. Before joining Domestic Securities, she spent\r\n15 years in private practice, working as an associate and a partner at New\r\nYork law firms.\r\n\r\n\r\nLinda received her J.D. magna cum laude, graduating first in her class from\r\nBrooklyn Law School, and was the Recent Decisions Editor of the Brooklyn\r\nLaw Review. She received her M.S. in Social Work from Columbia University\r\nand her B.A. from Brandeis University. She was admitted to the bar in New\r\nYork in 1977 and is admitted to appear before the US Court of Appeals for the\r\nDistrict of Columbia Circuit and the US District Court for the Southern District\r\nof New York. Linda serves, on a pro bono basis, as the General Counsel to the\r\nFinancial Women's Association of New York.\r\n