The Willard Offices
1455 Pennsylvania Avenue, NW
Suite 400
Washington, DC 20004

For more than 25 years, Mary has counseled clients on broker-dealer and securities market regulation.

Mary also advises clients on broker-dealer formation, mergers and acquisitions, and compliance issues. She has served as Partner and Of Counsel in two large international law firms as well as Deputy General Counsel of The Nasdaq Stock Market, Inc. and various counsel positions in the Office of General Counsel at FINRA (f/k/a NASD Regulation, Inc.).

 

Mary’s broker-dealer expertise includes:

 
 

  • Broker-dealer and alternative trading
    system registration

  • Supervisory controls and compliance
    programs (annual reviews and certifications,
    internal inspections, self-reporting)

  • Trading issues involving equities, options,
    bonds, ETFs, and other products

  • Private fund, mutual fund, non-traded REIT,
    ETF, and variable annuity distribution

  • SEC Regulation Best Interest and institutional suitability

  • AML compliance programs

  • Senior financial exploitation reporting

  • Customer documentation and
    clearing agreements

  • Registered representative requirements,
    including Form U4 and Form U5 disclosures
    and fingerprinting requirements

  • Operational issues, including prospectus
    delivery and electronic blue sheets

  • SEC net capital and customer protection rules
    and interpretations

  • Electronic communications supervision and retention

  • Research report disclosures

  • Digital assets, including cryptocurrencies

 

Mary advises broker-dealers on all aspects of FINRA new membership and continuing membership applications.

She also has advised stock exchanges, listed companies, and intermediaries concerning rule filings and interpretations, product listings, and other compliance issues.

Throughout her career, Mary has served many pro bono clients on a wide range of legal matters.

These clients have included individuals and families seeking assistance with adoption, child custody, immigration, and Social Security disability as well as small businesses needing advice on corporate organization, governance, and government assistance programs. She also has provided pro bono services to civil rights organizations and other non-profits.

Currently she is a volunteer for the DC Volunteer Lawyers Program (DCVLP) and serves as guardian ad litem for a child in the District of Columbia Superior Court. Mary was recognized as DCVLP’s Child Advocate of the Year in 2021.

Education

University of Virginia School of Law Juris Doctor

University of Nebraska—Lincoln Bachelor of Science in Finance

Bar Admissions

District of Columbia • New York • California