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
NEW YORK
United States
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Mr Julian Rainero
Work Department
Broker-Dealer Regulatory & Enforcement, Hedge Funds, Investment Management, Regulatory & Compliance
Position
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.
Memberships
SIFMA
Education
American University, Washington College of Law, JD; Dickinson College, BA
Lawyer Rankings
United States > Finance > Financial services regulation
(Leading lawyers)Schulte Roth & Zabel LLP‘s New York-based regulatory specialists are adept at tackling issues pertaining to a range of private funds, advising hedge, private equity and VC fund managers on SEC investigations and internal compliance procedures, and with an increasing focus on the matters straddling the boundary between fund regulations and generative AI. The practice is also noted for its work in the broker-dealer sector, where it focuses on Dodd-Frank and Volcker Rule compliance in addition to liaising with FINRA and the SEC, including regarding the proposed Consolidated Audit Trail program. Craig Warkol and Julian Rainero specialize in broker-dealer regulatory enforcement matters, including those tied to securities trading. Co-managing partner Marc Elovitz and Kelly Koscuiszka guide fund managers through the Investment Advisers Act of 1940, with the former also assisting with digital asset trading and blockchain issues. Banking regulatory issues are the primary focus of Donald Mosher‘s practice, which encompasses the licensing of money transmitters and payment processors.
Lawyer Rankings
- Leading lawyers United States > Finance > Financial services regulation
- Financial services regulation United States > Finance
Top Tier Firm Rankings
Firm Rankings
- M&A/corporate and commercial > M&A: middle-market ($500m-999m)
- Finance > Structured finance: securitization
- M&A/corporate and commercial > Private equity buyouts: middle-market (Up to $500m)
- Investment fund formation and management > Private equity funds (including venture capital)
- Tax > US taxes: non-contentious
- Labor and employment > ERISA litigation
- Dispute resolution > Financial services litigation
- Finance > Financial services regulation
- Dispute resolution > M&A litigation: defense
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Dispute resolution > Securities litigation: defense
- Dispute resolution > General commercial disputes
- Real estate > Real estate
- Real estate > Real estate finance
- Finance > Restructuring (including bankruptcy): corporate
- Dispute resolution > Corporate investigations and white-collar criminal defense
- Intellectual property > Patents: litigation (full coverage)
- Finance > Fintech
- M&A/corporate and commercial > Shareholder activism