Overview
Advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules.
Julian focuses on all aspects of broker-dealer regulation, with a focus on cash equities trading practices, alternative trading systems, net capital, customer asset segregation, prime brokerage, correspondent clearing, and margin and securities lending.
He represents many of the leading electronic market makers and alternative trading systems and serves on the best-execution committees of several major broker-dealers.
In addition to regularly advising broker-dealers on regulatory compliance and best practices, Julian represents clients in responses to examination findings and enforcement proceedings. He also provides legal counsel to financial institutions in connection with acquisitions of or investments in broker-dealers, credit facilities collateralized by securities and transactions subject to Regulation M.
Recognitions
Listed as a leading financial services regulatory attorney in:
- Chambers USA
- The Legal 500 US
Credentials
Education
American University, Washington College of Law, JD
Dickinson College, BA
Admissions
New York
