Naim Culhaci

  • Associate
  • Enaim.culhaci@lw.com
  • 1271 Avenue of the Americas
  • New York, NY 10020
  • USA
  • T +1.212.906.1837
  •  
 

Profile

Naim Culhaci is an associate in the New York office of Latham & Watkins and a member of the Financial Institutions Industry Group.

Mr. Culhaci advises investment banks, hedge funds, private equity firms, alternative trading platforms, transfer agents, other securities-related platforms, and Fintech start-up companies on matters involving broker-dealer, investment advisor, and securities market regulation. Mr. Culhaci’s client advice spans a wide range of broker-dealer regulatory matters, including FINRA membership applications, FINRA and SEC compliance enforcement, mergers and acquisition transactions, financing transactions, cross-border broker-dealer activities, and FINRA and SEC rule changes and developments. He also regularly advises a wide array of clients with respect to various reporting requirements under the Securities Exchange Act of 1934.

Thought Leadership

  • SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions -  April 12, 2022
  • Expanded Definition of “Exchange” and SEC Regulation of Crypto Platforms -  March 02, 2022
  • SEC Proposes to Expand the Definition of an “Exchange” -  February 17, 2022
  • SEC Proposes Stricter Requirements for the Rule 10b5-1 Affirmative Defense -  January 07, 2022
  • The Return of the Token Safe Harbor -  April 29, 2021
  • FINRA Proposes Amendments to Margin Requirement Rules -  April 13, 2021
  • SEC Issues Guidance for Broker-Dealer Custody of Digital Assets -  January 12, 2021
  • SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices -  January 05, 2021
  • FINRA Issues Proposal to Mandate Filing of All Retail Communications Regarding Certain Private Placements -  November 11, 2020
  • Finders, Keepers: SEC Proposes Safe Harbor Framework for Unregistered Finders -  October 16, 2020
  • SEC Streamlines Rules for Over-the-Counter Equity Securities -  October 06, 2020
  • Settlement of Digital Asset Trading Just Got Easier -  October 02, 2020
  • SEC Proposal: Will You Still Be a 13F Filer? -  July 16, 2020
  • FINRA Issues Guidance on Retail Communications in Private Placements -  July 14, 2020
  • FINRA Issues Guidance and Relief in Relation to COVID-19 -  March 17, 2020
  • SEC Approves Amendments to FINRA’s New Issue Rules -  January 21, 2020
  • The Yellow Brick Road for Consumer Tokens: The Path to SEC and CFTC Compliance - An Update -  November 12, 2019
  • FINRA Publishes Its 2019 Report on Examination Findings and Observations -  October 30, 2019
  • Of Robos and Regulators: The US Regulatory Landscape for Digital Advice -  March 28, 2019
  • SEC Charges “ICO Superstore” as Unregistered Broker-Dealer -  October 19, 2018
  • The Yellow Brick Road for Consumer Tokens: The Path to SEC and CFTC Compliance -  September 18, 2018
  • Are Your Employees Trading Bitcoin? Addressing Cryptocurrencies in Compliance Policies -  April 13, 2018
  • FINRA Proposes New Registration and Examination Rules -  April 03, 2017
  • SEC Approves FINRA Pay-to-Play Rules -  September 15, 2016
Bar Qualification
  • New York
Education
  • JD, University of Texas School of Law, 2014
    with Honors
  • BA, Columbia University, 2009
Industries
  • Financial Institutions
Languages
  • English
  • Turkish
Practices
  • Capital Markets
  • Mergers & Acquisitions
  • Emerging Companies
  • Investment Funds