Mr Julian Rainero > Schulte Roth & Zabel LLP > New York, United States > Lawyer Profile
Schulte Roth & Zabel LLP Offices
919 THIRD AVENUE
NEW YORK, NY 10022
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Mr Julian Rainero
Broker-Dealer Regulatory & Enforcement, Hedge Funds, Investment Management, Regulatory & Compliance
Julian Rainero is co-chair of the Broker-Dealer Regulatory & Enforcement Group. He advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules. His practice involves 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. Julian 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.
American University, Washington College of Law, JD; Dickinson College, BA
Lawyer Rankings(Leading lawyers)
Schulte Roth & Zabel LLP is well-known for its work for payment processors, with Donald Mosher advising both traditional companies in the space and fintech-related entrants to the market on regulatory matters. The team’s ability to handle complex regulatory issues in this area was demonstrated by its work for Ant Group in helping the company to obtain money transmitter licenses in several states. The practice regularly advises on acquisitions and disposals involving payment processors. Beyond the payments space, the team is also frequently engaged by broker-dealers to provide advice on compliance; Julian Rainero and Craig Warkol are the key partners in this area. All lawyers are based in New York.
- Leading lawyers - United States > Finance > Financial services regulation
- Financial services regulation - United States > Finance
Top Tier Firm Rankings
- Investment fund formation and management > Alternative/hedge funds
- Finance > Structured finance: derivatives and structured products
- Finance > Restructuring (including bankruptcy): municipal
- M&A/corporate and commercial > M&A: middle-market ($500m-999m)
- Finance > Structured finance: securitization
- Labor and employment > ERISA litigation
- Investment fund formation and management > Private equity funds (including venture capital)
- Finance > Financial services regulation
- Dispute resolution > M&A litigation: defense
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Real estate > Real estate finance
- Dispute resolution > Securities litigation: defense
- Tax > US taxes: non-contentious
- Dispute resolution > General commercial disputes
- Real estate > Real estate
- Dispute resolution > Corporate investigations and white-collar criminal defense
- M&A/corporate and commercial > Shareholder activism